Full text of IOI CAPITAL AND MARKETS, LLC's X-17A-5 filed 2022-02-24 (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 | | | OMB APPROVAL | | | | | | | | OMB Number: 3235-0123 | | | | | Washington, D.C. 20549 | | | Expires: Oct. 31, 2023 | | | | | | | | | Estimated average burden<br>hours per response: 12 | | | | | ANNUAL REPORTS | | | | | | | | | | | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | | | | | | PART III | | 8-70045 | | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | A. | REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | NAME OF FIRM: IOI Capital and Markets LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | ☒Broker-dealer | ☐Security-based swap<br>dealer | | ☐Major security-based swap participant | | | | | ☐ Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | 8 Greenway Plaza, Suite 1515 | | | | | | | | (No. and Street) | | | | | | Houston | | TX | | | 77046 | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Rashad Kurbanov | 832-426-4242 | | | rashad_kurbanov@iownit.us | | | | (Name) | (Area Code – Telephone Number) | | | (Email Address) | | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | BF Borgers CPA PC | | | | | | | | | | (Name – if individual, state last, first, middle name) | | | | | | 5400 W Cedar Ave | Lakewood | | CO | | 80226 | | | (Address) | (City) | (State) | | | (Zip Code) | | | 05/11/2010 | | | | | 5041 | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public…Read the full text as markdown