Full text of SAGEWORKS CAPITAL LLC's X-17A-5 filed 2020-03-18 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC QMB APPROVAL 3235-0123 QMB Number. August 31, 2020 Expires: Estimated average burden Estimated assistes . ... . 12.00 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-69058 | ## FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Section Section Factors and Dealers Pursuant to Section 17 of the ation Required of Brokers and Dealers I and Rule 17a-5 Thereunder Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | AND ENDING | DECEMBER 31, 2019 | | | | |--------------------------------------------------------------------------|--------------------------------------------------------------------|------------|-----------------------------|--|--|--| | REPORT FOR THE PERIOD BEGINING | JANUARY 1, 2019 | | MM/DD/YY | | | | | | MM/DD/YY | | | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | OFFICAL USE ONLY | | | | | | | | NAME OF BROKER DEALER: | SAGEWORKS CAPITAL, LLC | | | | | | | | | | FIRM ID. NO. | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | 1177 AVENUE OF THE AMERICAS, 7th FLOOR | | | | | | | | (No. and Street) | | | | | | | | | | 10036 | | | | | | NY | | (Zip Code) | | | | | NEW YORK | (State) | | | | | | | (City) | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | 215-806-9031 | | | | | VLAD UCHENIK | | | (Area Code - Telephone No.) | | | | | | | | | | | | | | | | | | | | | | B. ACCOUNTANT DESIGNATION | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | | | FLORIDA | 32751 | | | | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND | | (State) | (Zip Code) | | | | | (Address and City) | | | | | | | | CHECK ONE: | | | | | | | | [x] 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 audit be covered by the opinion of an integralent public accountion. See section 240 174-5 (e) (2 \*Claims for exemption from…Read the full text as markdown