Full text of SPC CAPITAL MARKETS LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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, 2022 (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ | | | | OMB APPROVAL | | | |------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------------------------------------------|--------------------------|--------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: | 3235-0123 | | | Washington, D.C. 20549<br>Expires: | | | | October 31, 2023 | | | | | | Estimated average burden | | | | | | | hours per response | 12.00 | | | | ANNUAL AUDITED REPORT | | | SEC FILE NUMBER | | | FORM X-17A-5 | | | | | | | | PART III | | | 8-70650 | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING | 12/31/2022 | | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: SPC Capital Markets LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>&Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | _Security-based swap dealer | _ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 20 Horseneck Lane | | | | | | | | (No. and Street) | | | | | | Greenwich | CT | | 06830 | | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Michael Chung | 212-751-4422 | | mchung@stonepoint.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | KPMG LLP | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 345 Park Ave, 4th Floor | New York | NY | | 10154 | | | (Address) | (City) | (State) | | (Zip Code) | | | 10/20/2003 | | | | 185 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | |…Read the full text as markdown