Full text of THOMA BRAVO CAPITAL MARKETS, LLC's X-17A-5 filed 2022-03-31 (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** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: Oct. 31 , 2023 Estimated average burden hours per response . . . 12.00 ### **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8 - 70612 | #### **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Ad** *cl* **1934** | REPORT FOR THE PERIOD BEGINNING | 7/1/2021 | AND ENDING | 12/31/2021 | | |--------------------------------------------------------------------------|----------------------------------------------------------|---------------------------------|------------|--| | | MM/DDIYYYY | | MM/DDIYYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | | Thoma Bravo Capital Markets LLC | | | | TYPE OF REGISTRANT (chock all ~plicroleboxes): | | | | | | X Broker-dS:ller<br>D Security-based swap dealer | D Major security-based swap participant | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 150 N. Riverside Plaza, Suite 2800 | | | | | | (No. and Strea) | | | | | Chicago | IL | | 60606 | | | (City) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Steven Schwab | 847-507-7885 | sschwab@thomabravo.com | | | | (Name) | (Area Code-- Telephone No.) | (Emai I Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reportsaecontaina::I in this filing* | | | | | | | Ernst & Young LLP | | | | | | (Name-if individuai , state last, first, and middlenane) | | | | | 155 North Wacker Drive | Chicago | IL | 60606 | | | (Address) | (City) | (Stale) | (Zip Code) | | | 10/20/2003 | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \*Claims for exerrption from the requi rerrent that the annual reports be covered by the reports of an independent pub/ i c accountant m;fi be supported by a fiaterrent of facts and ci rcum:iances relied on as the bass of the exerrpti on. &€ 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 0MB control number.** {1}------------------…Read the full text as markdown