Full text of LPS CAPITAL LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|-----------------|-------------------------------------------------|--| | | 01/01/2022 | | 12/31/2022 | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | LPS Capital LLC<br>NAME OF FIRM: | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>[ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | □ Security-based swap dealer | | | | | | | 150 E.52nd St, Suite 5001 | | | | | | | (No. and Street) | | | | | | New York | NY | | | 10022 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | John Tarleton | (212) 441-3810 | | | JTarleton@LPScptl.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | BDG - CPAs | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 76 N. Walnut St | Ridgewood | | NJ | 07450 | | | (Address) | (City) | | (State) | (Zip Code) | | | 02/18/2004 | | 1167 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | * Claims for exemption from the requirement that the annual reports of an independent public | FOR OFFICIAL USE ONLY | | | roliad on as the hasis of the everention See 17 | | {1}------------------------------------------------ | HOWARD MALZBERG | Signature | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------| | NOTARY PUBLIC, STATE OF NEW YORK | Itle: | | Registration No. 01 MA4913510 | President | | Qualified in New York County | | | My Crangarss Roublix pires: Nov 23 2025 | | | | | | This filing*…Read the full text as markdown