Full text of LIBERUM CAPITAL INC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURJTlESAND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | OMB APPROVAL | | |--------------------------|---------------------------| | OMB Number: | 3235-Cl 23 | | Expires: | August 31, 2020 | | Estimated average burden | | | | hours per response 12.00 | | SEC FILE NUMBER | | |-----------------|--| | S-67976 | | #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | REPORT FOR THE PERJOD BEGINNING January 1, 2019<br>AND ENDING December 31, 2019 | | |-------------------------------------------------------------------------|---------------------------------------------------------------------------------|--------------------------------| | | MM/DDfYY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | NAME OF BROKER-DEALER: LIBERUM CAPITAL INC | | OFFICIAL USE ONLY | | ADDRESS OF PRJNCJPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM l.D. NO. | | | 575 Fifth Avenue, 20th Floor | | | | | (No. and Street) | | | New York | NY | 10017 | | (City) | (State) | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | Steven C Bender | | 646.290.7248 | | | | {Area Code - Telephone Number) | #### B. ACCOUNT ANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* #### BDG-CPAs | | (Name - if md1vidua/, stare last, first. middle name) | | | |-------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|------------| | 76 North Walnut St | Ridgewood | NJ | 07450 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>I,/ I<br>certified Public Accountant<br>B<br>Public Accou ntant | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See Section 240.17a-5(e)(2)* > Potential persons who are to respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {1}-----------------------------------…Read the full text as markdown