Full text of PRIME CAPITAL MARKETS, LLC's X-17A-5 filed 2023-03-20 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Prime Capital Markets, LLC December 31, 2022 Financial Report {1}------------------------------------------------ | | UNITED STATES | OMB APPROVAL | |------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | Washington, D.C. 20549 | Estimated average burden<br>hours per response:<br>12 | | | ANNUAL REPORTS | SEC FILE NUMBER | | | FORM X-17A-5 | 8-70570 | | | PART III | | | filing for the period beginning 01/01/2022 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | __ AND ENDING 12/31/2022 | | | MM/DD/YY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | NAME OF FIRM: | Prime Capital Markets LLC | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>[] Check here if respondent is also an OTC derivatives dealer | L Security-based swap dealer | L Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 425 S. Financial Place, Suite 3160 | | | | (No. and Street) | | | | | | | Chicago | Illinois | 60605 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | David E. Oulvey | 847-712-8870 | doulvey@prme-trading.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | RSM US LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | (Name - if individual, state last, first, and middle name) | | | 30 S. Wacker Drive, Suite 3300 Chicago | | Illinois 60606 | | (Address) | (City) | (State)<br>(Zip Code) | | 09/24/2003 | | 49 | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | 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