Full text of NUORION CAPITAL, LLC's X-17A-5 filed 2023-11-17 (period 2023-09-30). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden ## ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | | 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 | 07/13/22 | | AND ENDING | 09/30/23 | |---------------------------------|----------|------------------------------|------------|----------| | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | | NuOrion Capital, LLC | | | TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer Check here if respondent is also an OTC derivatives dealer [ Security-based swap dealer \_ \_ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | 495 Brickell Avenue - Suite 2101 | | |----------------------------------------------|---------------------------------------------------------------------------|---------------------------------| | | (No. and Street) | | | Miami | i | 33131 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Guy Phillips | (917) 859-7268 | quy.phillips@nuorioncapital.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | Assurance Dimensions | | | | | (Name - if individual, state last, first, and middle name) | | | 2000 Banks Road - Suite 218 Margate | | 33063 | (City) (State) (Zip Code) (Address) > 5036 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) 4/13/2010 FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public 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. {1}------------------------------------------------ # NuOrion Capital, LLC Financial Statement and Report of Independent Registered Public Accounting Firm Pursuant to Rule 17a-5 under the Securities Exchange Act…Read the full text as markdown