Full text of PRIME CAPITAL MARKETS, LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Financial Report December 31, 2023** This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition bound separately has been filed with the Securities and Exchange Commission simultaneously herewith as a CONFIDENTIAL document. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-70570 # **PART** Ill **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **O 1/01/2023** AND ENDING **12/31 /2023** MM/DD/VY MM/00/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Prime Capital Markets LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ 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 Financial Place, Suite 3160 | | | (No. and Street) | | | | |-----------------------------------------------------------------------------------------|--------------------------------|------------------|--------------------------------------------|---------------------------|--| | Chicago | | IL | | 60605 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | David E. Oulvey | 847 712 8870 | | | doulvey@prime-trading.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | 8. 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 S. Wacker Dr Suite 3300 | | Chicago | IL | 60606 | | | (Address) | (City) | | (State) | (Zip Code) | | | 09/24/2003 | | | 49 | | | | (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 pubtic accountant must be supported by a statement of facts and circumstances relied on as the basis of the…Read the full text as markdown