Full text of IOI CAPITAL & MARKETS, LLC's X-17A-5 filed 2021-02-22 (period 2020-12-31). 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 | OMB APPROVAL | | | |---------------------------------|-----------|--| | OMB Number: | 3235-0123 | | | Expires: October 31, 2023 | | | | Estimated average burden | | | | . 12.00<br>hours per response . | | | 8-70045 SEC FILE NUMBER | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PART III | ### FACING PAGE I nformation Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | AND ENDING | 12/31/2020 | | |----------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------|------------|------------------------------|--| | | MM/DD/YYYYY | | MM/DD/YYYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | | | | IOI Capital and Markets LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM ID. NO. | | | | 8 Greenway Plaza, Suite 1515 | | | | | | (No. and Street) | | | | | Houston | TX | | 77046 | | | (City) | (State) | | (Zip Code) | | | NAME AND TEEFHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS SEPORT | | | | | | Rashad Kurbanov | | | 832 - 426 - 4242 | | | | | | (Area Code -- Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | SPICER JEFFRIES LLP | | | | | | | (Name -- if individual, state last, first, middle name) | | | | | 4601 DTC Boulevard, Suite 700 | Denver | CO | 80237 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>网 Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. 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 OMB control number. {1}---------------------------…Read the full text as markdown