Full text of SPC CAPITAL MARKETS LLC's X-17A-5 filed 2021-03-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **SPC CAPITAL MARKETS** LLC (A Wholly Owned Subsidiary of SPC Capital **Markets** Holdings LLC) Statement of Financial Condition December 31, 2020 (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ | ONB APPROVAL | | | | | | |---------------------------|--|--------------------------|--|--|--| | OMB Number: 3235-0128 | | | | | | | Expires: Occiber 31, 2023 | | | | | | | Estimated average burden | | | | | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER | | | | | | | | | 705.00 | | | | | | | | | | | #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 #### ANNUAL AUDITED REPORT FORM X-17A-5 PART III #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | AND ENDING | 12/31/2020 | | |---------------------------------------------------------------------------|-----------------------------------------------------------|------------|-----------------------------------|--| | | MM/DD/YYYYY | | MMDD/YYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DFALER: | | | | | | SPC CAPITAL MARKETS LLC | | | OFFICIAL USE ONLY<br>FIRM ID, NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 20 Horseneck Lane | | | | | | | (No. and Street) | | | | | Greenwich | CT | | 03:30 | | | (City) | (Sub) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Michael Chung | | | 212-751-4422 | | | | | | (Arca Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report® | | | | | | KPMG LLP | | | | | | | (Name -- If Indrividual, sicte last, first, middle name ) | | | | | 345 Park Avenue, 4th Floor | NEW YORK | NY | 1015 | | | (Address) | (City) | (Sunto) | (Zip Code) | | | CHECK ONE: | | | | | | 18 Certified Public Accountant<br>Public Accountant | | | | | | Accountant not resident in United States or any of its possessions | | | | | | | | | | | | | For official. Use only | | | | | | | | | | | | | | | | \* iams from the requirement that the annual report be covered by the opinion of on independent public accountant must be supported by a statement of focus and creamstances relied on as the basis for the exemption. Son se…Read the full text as markdown