Full text of ICG CAPITAL SECURITIES, LLC's X-17A-5 filed 2026-04-06 (period 2024-12-31). 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** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER 8-69379 **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 **01/01/24** MM/DD/YY AND ENDING **12/31 /24** MM/00/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: ICG Capital Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) 201 South College Street, Suite 1610 (No. and Street) Charlotte NC 28244 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Scott Upton 704-332-1930 scott.upton@icgcap.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Goldman & Company, CPAs, P.C. (Name -if individual, state last, first, and middle name) 3535 Roswell Rd., Ste 32 Marietta GA 30062 (Address) {City) {State) (Zip Code) 6/25/2009 1952 **r te of R,g;,tca,;o, with PCAOB][lf appHcable) FOR OFFICIAL USE ONLY** (PCAOB Reg;,tr.,t;oo N"mbec, ;f appHcable) I \* 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 OMS control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Scott Upton | | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------|-------------------------…Read the full text as markdown