Full text of CONVEX CAPITAL MARKETS LLC's X-17A-5 filed 2022-06-03 (period 2022-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **ConvEx Capital Markets LLC** (a wholly owned subsidiary of ConvEx Services Ltd) Statement of Financial Condition Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 March 31, 2022 {1}------------------------------------------------ #### **UNITED ST A TES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB Number: 3235-0123 | | | | |--------------------------|--|--|--| | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response: 12 | | | | SEC FILE NUMER 8- 70636 **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 **4/1/2021** MM/DDNY AND ENDING **3/31 /22** --------- **MM** /0 D NY #### **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: \_\_ C\_O\_N\_V\_E\_X\_C\_A\_P\_I\_T\_A\_L \_M\_A\_R\_K\_E\_T\_S\_L\_L\_C \_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1177 Avenue of the Americas, 5th Floor | | (No. and Street) | | | |----------------|----------------------------------------------|-----------------|--| | New York | NY | 10036 | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Michael Stupay | (212) 897-1692 | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNT ANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing\* # YSL & Associates LLC | (Name - if individual, state last, first, and middle name) | | | | | | | |------------------------------------------------------------|----------|---------|-------------------------------------------|--|--|--| | 11 Broadway, Suite 700 | New York | NY | 10004 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 6/6/2006 | | 2699 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, ifapplicable) | | | | #### **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports ofan independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption…