Full text of PNFP CAPITAL MARKETS, INC.'s X-17A-5 filed 2024-02-21 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-69608 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01 /23** AND ENDING **<sup>1</sup> <sup>2</sup> /3 1 / <sup>2</sup> <sup>3</sup>** MM/DD/VY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: PNFP CAPITAL MARKETS, INC. TYPE OF REGISTRANT (check all applicable boxes): **0** Broker-dealer D Security-based swap dealer □ 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.) # 150 3RD AVE. SOUTH, SUITE 900 | | {No. and Street) | | | | |---------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|------------------------|--| | Nashville | TN | | 37201 | | | {City) | {State) | | {Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | ROGER OSBORNE | (615) 743-8455 | | Roger.Osborne@PNFP.COM | | | {Name) | (Area Code - Telephone Number) | {Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LBMC, PC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 201 FRANKLIN RD, BOX 1869 Brentwood | | TN | 37024 | | | {Address) | (City) | (State) | {Zip Code) | | | 10/20/03 | | 450 | | | | rte of Registcatloa with PCAOB)lif apPlicable) | | (PCAOB Registcatioa Nombec, if applicable) | | | \* 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-5{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** | I, ROGER OSBORNE | | swear (or affirm) that, to the best of…Read the full text as markdown