Full text of TCG CAPITAL MARKETS L.L.C.'s X-17A-5 filed 2023-02-22 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | | | | 0MB APPROVAL | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------|------------------------------------|-----------------------------------------|-----------------|-------------------------------------------------------------------------------------------------------|--| | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | ANNUAL<br>REPORTS | | | SEC FILE NUMER | | | | | | | | 8-<br>70061 | | | | | | | FORM X-17A-S | | | | | | | | PART Ill | | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | | FILING FOR THE PERIOD BEGINNING | | __<br>_0_1_/0_1_/_22<br>AND ENDING | | | 12/31/22 | | | | | MM/D0/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAM!: OF FIRM : | TCG Capital Markets L.L.C. | | | | | | | ~ Broker-dealer<br>□ Check here if respondent is also an OTC deri atives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>1 Vanderbilt Avenue, Suite 3400 | □ Security-based swap dealer | | □ Major security-based swap participant | | | | | | | (No. and Street) | | | | | | New York | | NY | | | 10017 | | | (City) | | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Rafael Beck | | (212) 897-1690 | | | rbeck@integrated.so1utions | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Ernst & Young LLP | | | | | | | | | (Name - if individual, state last, first, and midd le name) | | | | | | | One Manhattan West | | New York | | NY | 10001 | | | (Address) | (City) | | | (State) | (Zip Code) | | | 10/20/2003 | | 42 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, ifapplicable) | | | | | 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…Read the full text as markdown