Full text of SDR CAPITAL MARKETS, INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### SDR CAPITAL MARKETS, LLC FINANCIAL STATEMENTS December 31, 2022 Report pursuant to Rule 17a-5(d) {1}------------------------------------------------ **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** Fl LING FOR THE PERIOD BEGINNING \_\_ 0=-1\_,\_/-'--01\_,\_/\_2\_0\_22 \_\_\_ AND END I NG \_\_ 1\_2.,\_/3\_1\_,.\_/\_20\_2\_2 \_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: SDR Capital Markets, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 5613 DIC Parkway Suite 830 (No. and Street) Greenwood Village co <sup>80111</sup> (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, f irst, and middle name) 4601 DTC Parkway, Suite 700 (Address) **10/20/2003** Denver {City) co (State) **349 80237** (Zip Code) **l" of Regisuafoo wi<h PCAOB)(if applicable) FOR OFFICIAL USE ONLY** (PCAOB Regist,atioo No mbec, if applicable) 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 appl icable. 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. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | Eric Davis | swear (or affirm) that, to the best of my knowledge and belief, the | |------|---------------------------------------------------------------------------------------------------------------------------------------------|-----…Read the full text as markdown