Full text of TCG CAPITAL MARKETS L.L.C.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### **UNITED ST ATES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** III 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burde11 hours per response: 12 SEC FILE NUM ER 8- 70061 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **01/01/21** ANDENDING **12/31/21** --------- MM/DD NY MM/DDNY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: TCG Capital Markets L.L.C. 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.) # 1 Vanderbilt Avenue, Suite 3400 | | (No. and Street) | | | |-------------|-----------------------------------------------|----------------------------|--| | New York | NY | 10017 | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONT ACT WITH REGARD TO THIS FILING | | | | Rafael Beck | (212) 897-1690 | rafael.beck.cw@carlyle.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNT ANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # Ernst & Young LLP | (Name - if individual, state last, first, and middle name) | | | | | |------------------------------------------------------------|--------|--------------------------------------------|------------|--| | 1775 Tysons Blvd. | Tysons | VA | 22102 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | | 42 | | | | (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 accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240. l 7a-S(e)( 1 )(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to r espond unless t he form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **AFFIRMATION** I, Rafael Beck , swear ( or affirm) that, to the best of my knowledge and belief, the financial report…Read the full text as markdown