Full text of STERN CAPITAL LLC's X-17A-5 filed 2024-02-23 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER **8-66433** **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 1 \_ 1 \_ 11\_ 2 \_ 02 \_ 3 \_\_\_ AND ENDING \_\_\_ 1 \_ 21\_ 3 \_ 1 \_ 12\_ 0 \_ 2 \_ 3 \_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Stern Capital, LLC TYPE OF REGISTRANT (check all applicable boxes): Iii] Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 420 Lexington Avenue, Suite 300 New York (City) (No. and Street) **NY** (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10170 (Zip Code) Lawrence M. Stern 212-832-1200 Lawrence.m.stern@sterncapital.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* BDG-CPAs 76 N Walnut St (Address) 2/18/2004 (Name - if individual, state last, first, and middle name) Ridgewood (City) 1167 **FOR OFFICIAL USE ONLY** NJ (State) 07450 (Zip Code) \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption . See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Lawrence M. Stern swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Stern Capital, LLC , as of December 31 , 2 023 , is true and correct. I further swear (or affirm) that e1ther t e company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interes n any a ou t cl ssified solely as that of a customer.  | Barren Bronne of Co<br>Company Controller Company Co…Read the full text as markdown