Full text of PILOT HILL CAPITAL LLC's X-17A-5 filed 2022-02-14 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **ANNUAL REPORTS FORM X-17A-5 PART Ill** FACING PAGE OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 sec FILE NUMBER 8-70518 Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILIN,G FOR THE PERIOD BEGINNING 1 /1 /21 AND ENDING 12/31 /21 ~~~~~~~~- -~~~~~~~~- MM/DD/VY MM/DD /YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: PILOT HILL CAPITAL LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here If respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 87 HILLCREST AVE (No. and Street) Summit NJ 07901 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Karen Alvarez 770-263-7300 kalvarez@foreside.com (Name) (Area Code -Telephone Number) {Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in t his filing\* RUBIO CPA, PC (Name - if individual, state last, first, and middle name) 2727 Paces Ferry Rd SE, Suite 2-1680 Atlanta GA 30339 (Address) (City) (State) (Zip Code) 5/5/09 3514 (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 the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, James F. Higgins Jr. swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of PILOT HILL CAPITAL LLC as of December 31 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.  #### **This filing\*\* contains (check all applicable boxes):…Read the full text as markdown