Full text of THOMA BRAVO CAPITAL MARKETS, LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |---------------------------|-----------------| | 0MB Number: | 3235-0123 | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response 12.00 | | | | SEC FILE NUMBER | ### **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 Act of 1934** | REPORT FOR THE PERIOD BEGfNNING | 01/01/2022 | AND ENDING | 12/31/2022 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------------------------------|--------------------------------------------|--| | | MM/DD/YYYY | | MM/DD/YYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | | Thoma Bravo Capital Markets LLC | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>X Broker-dealer<br>D Security-based swap dealer | D Major security-based swap participant | | | | | □ Check here ifrespondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P 0 . Box No.) | | | | | | | 110 North Wacker Drive 32nd Floor | | | | | | (No. and Street) | | | | | Chicago | IL | | 60606 | | | (City) | [State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Steven Schwab | 847-507-7885 | sschwab@thomabravo.com | | | | (Name) | (Area Code --Telephone No) | (Em ail Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | | | | | | | | Ernst & Young LLP | | | | | | (Name- if individual, state last, first, and middle name) | IL | 60606 | | | (Address) | Chicago<br>(City) | ( 1n1c) | (Zip Code) | | | 10/20/2003 | | | 42 | | | | | | [PCAOB Registration Number, if applicable) | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing*<br>155 North Wacker Drive<br>(Date of Registration witl1 PCAOB)(ifapplicable) | FOR OFFICIAL USE ONLY | | | | *\*Claims for exemplion from lhe 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 lhe basis of the exemplion. See 17 CFR 240.l 7a-5(e)(l)(ii)…Read the full text as markdown