Full text of SPAREBANK 1 CAPITAL MARKETS INC.'s X-17A-5 filed 2026-03-02 (period 2025-12-31). 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 8-68611 MM/DD/YY **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2025** AND ENDING 1213112025 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: SB1 Capital Markets, Inc. TYPE OF REG ISTRANT {check all applicable boxes): C!J Broker-dealer □ Securit y-based sw ap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) # 260 Madison Ave 8th Floor | | (No. and Street) | | | |------------------------------------------------------------------------------|------------------------------------------------------------------------|-----------------|-----------------------| | New York | NY | | 10016 | | (City) | (Stat e) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FI LI NG | | | | | Sean Bowden | 718-551-5145 | | sean.bowden@sb1cm.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in t his f iling* | B. ACCOUNTANT IDENTIFICATION | | | | Ferrara CPA, LLC | | | | | 100 Horizon Center Blvd | (Name - if individual, state last, first, and middle name)<br>Hamilton | NJ | 08691 | | (Address) | (City) | (State) | (Zip Code) | | 12/17/2024 | | 7259 | | | | | | | \* Claims for exemption from the requirement that t he annua l reports be covered by the reports of an independent public accou ntant must be supported by a statement of facts and circumstances relied on as the basis of the exempt ion . See 17 CFR 240.17a-S(e)(l)(ii), if applica ble. **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, Sean Bowden | sw ear (or affirm ) t hat, to t<br>he best of my knowledge and belief, t | he | |-----------------------------------------------------------------------|---------------------------------------------------------------------------------------|-…Read the full text as markdown