Full text of TCG CAPITAL MARKETS L.L.C.'s X-17A-5 filed 2024-02-27 (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 EXCHANG E COMMISSION Washington, D.C. 20549 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 8cplres: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NU MER 8- 70061 **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and l Sa-7 under the Securities Exchange Act of 1934 | | FILING FOR THE PERIOD BEGINNING | _0_1_/0_<br>1_/_2 _3 | __<br>AND ENDING | 12/31<br>/23 | | |---------------|---------------------------------|------------------------------|------------------|--------------|--| | | | MM/DD/YY | | MM/00/YY | | | | | 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 panicipant D Check here i r 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 CONTACT WITH REGARD TO THIS FILING | | | Rafael Beck | (212) 897-1690 | rbeck@integrated.so1utions | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ### Ernst & Young LLP | (Name - if individual, state last, first, and middle 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, 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 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to t he collection of information cont ained in this form are not required to respond unless the form displays *a* currently valid 0 MB cont…Read the full text as markdown