Full text of HOOPOE CAPITAL MARKETS, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition Pursuant to Rule 17a-5(e)(3) under the Securities and Exchange Act of 1934 and Report of Independent Registered Public Accounting Firm December 31, 2020 (Public) {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | | |---------------------------|-----------------|--|--|--| | 0MB Number: | 3235-0123 | | | | | Expires: | August 31, 2021 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | | | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | | | |-----------------|--|--| | 8-70107 | | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 ofthe Securities Exchange Act of 1934 and Rule 17 a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01/01/2020<br>MMIDDNY | ANDENDING | 12/31/2020<br>MMIDDNY | |--------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | Hoopoe Capital Markets, LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 603 Mass. Ave | Suite 200 | | | | | (No. and Street) | | | | Boston | MA | | 02118 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Mohammad Kaleem | | | 617-318-9244<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained on this Report* | | | | | Withum Smith+ Brnwn, PC | | | | | | (Name - if individual, state last, first, middle name) | | | | 155 Seaport Blvd, F3 | Boston | MA | 02210 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | \* *Claims for exemptionfi'om 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 240.l 7a -5(e)(2).* {2}-----------------------------------…Read the full text as markdown