Full text of THIRD SEVEN CAPITAL LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **THIRD SEVEN CAPITAL, LLC (A Limited Liability Company)** **STATEMENT OF FINANCIAL CONDITION** **DECEMBER 31, 2020** {1}------------------------------------------------ #### UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB APPROVAL | |---------------------------| | OMB Number:<br>3235-0123 | | October 31, 2023 | | Estimated average burden | | hours per response 12.00 | | | | SEC FILE NUMBER | | |-----------------|--| | -69032 | | 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 PERIOD BEGINNING 01/01/2020 | | AND ENDING | 12/31/2020<br>MM/DD/YY | |-----------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------| | | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Third Seven Capital LLC | | | OFFICIAL USE ONLY | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 1345 Avenue of the Americas, 33rd floor | | | | | | (No. and Street) | | | | New York | NY | | 10105 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Daniel Sakol | | | 516-393-5618 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Raines & Fischer LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 555 Fifth Avenue, Suite 901 | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | 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 facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(0)(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.…Read the full text as markdown