Full text of PRIME CAPITAL MARKETS, LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Prime Capital Markets, LLC** Financial Report December 31, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | Expires: Oct. 31, 2023<br>Estimated average burder<br>hours per response: 12 | | |------------------------------------------------------------------------------|--| | SEC FILE NUMBER | | | -705<br>10 | | OMB APPROVAL OMB Number: 3235-0123 ### ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/21 | | AND ENDING 12/31/21 | |------------------------------------------|----------|---------------------| | | MM/DD/YY | MM/DD/YY | A. REGISTRANT IDENTIFICATION ## NAME OF FIRM: Prime Capital Markets, LLC TYPE OF REGISTRANT (check all applicable boxes): 图 Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ### 425 S. Financial Place, Suite 3160 | Chicago | | | 60605 | |-----------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|------------------------------| | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | David E. Oulvey | (312) 986-7419 | | doulvey@prime-capmarkets.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 30 South Wacker Drive, Ste 3300 | Chicago | | 60606-7481 | | (Address) | (City) | (State) | (Zip Code) | | 09/24/2003 | | 49 | | | | | (PCAOB Registration Number, if applicable) | | | (Date of Registration with PCAOB)(if applicable) | | | | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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. {2}--------------------…Read the full text as markdown