Full text of SDR CAPITAL MARKETS, INC.'s X-17A-5/A filed 2022-03-15 (period 2021-12-31). 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 **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-69430 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_ 0l~/\_0l~/ 20\_ \_2\_1 \_\_\_ AND ENDING \_\_ 12\_/3\_1\_/ \_20\_2\_1 \_\_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_ S\_D\_R\_C\_a\_p\_it\_al\_M\_a\_r\_k\_et\_s, \_L\_L\_C \_ \_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): D Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 5613 OTC Parkway, Suite 830 (No. and Street) Greenwood Village co 80111 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Eric Davis 720-221-9220 edavis@sdrventures.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Spicer Jeffries LLP (Name - if individual, state last, first, and middle name) 4601 DTC Parkway, Suite 700 Denver co 80237 (Address) (City) (St ate) (Zip Code) **FOR OFFICIAL USE ONLY** {PCAOB RegistcaUoo N, <sup>m</sup> bec, tt applirable) I \* Claims for exemption from t he requirement t hat the annual reports be covered by the report s 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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** 1, Christopher Bouck swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of SDR Capital Markets, LLC as of December 31 • 2\_\_\_\_\_QV is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classif…Read the full text as markdown