Full text of SDR CAPITAL MARKETS, INC.'s X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **l JNITEOSTATES SEClJRITI ES ANO EXCHANGE COMMISSION Wnshington, O.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. .... i 2.00 SEC FILE NUMBER 8-69430 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of** the **Securities Exchange Act** of **1934 and Rule** 17a-5 **Thereunder** | AND ENDING 12/31/2019 | | | |-------------------------------------------------------------------------|-----------------------------------------------------------------|--| | | MM/DD/YY | | | | | | | | OFFICIAL USE ONLY | | | | FIRM I.D. NO. | | | | | | | | | | | | 80111 | | | (Zip Cock) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | (Arca Code - Telephone Number) | | | | | | | | | | | | | | | | | | | | 80237 | | | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (Name - ((i11di1·id11a /, slate last, jirst, middle name)<br>co | | *\*Clai111sfi;r exe111ptio11.fro111 the req11iremc11/ that the a111111al report be co,·ered by the opi11io11 ofa11 i11depende11t public acco1111ta11t* 11111st *be supported by a state111e11t of facts and circ11111sta11ces relied 011 as the basis/or tfte exe111ptio11. See Section 240.17a-5(e)(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 0MB control number.** SEC 141 0 (06-02) {1}------------------------------------------------ # **OATH OR AFFIRMATION** | L_im_ e_s ___<br>_ _____<br>r, _P_._A_n_d_r_ew_ | ________________<br>, swear (or affirm) that, to the best of | |-------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| | ----<br>-----<br>SDR Capital Markets, Inc. | 111y knowledge and belief the accompanying financial state111ent and supporting sched ul es pertaining to the fir111 of<br>------------<br>----------<br>------ | | -<br>-<br>-<br>-<br>-<br>of December 31 | -<br>-<br>-<br>-<br>, as<br>, are true and correct. l further swear (or affir111) that<br>, 20 19 | | | | neither the co111pany nor any partner, proprietor, principal office r or director has any proprietary interest in an…Read the full text as markdown