Full text of NUORION CAPITAL, LLC's X-17A-5/A filed 2023-12-27 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17A-S** | | PART Ill | | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|--------------------------------------------|--|--|--| | | 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 _ | __ 0_7_11_3_1_2<br>_2 __ | AND ENDING | ___<br>0_9_1_3_0_12_3 __ | | | | | | MM/DD/VY | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | __ N_u_O_ri_<br>NAME oF FIRM: _ | o_n_C_a-=--p_it_a_l ,_L_L_C | ________ | _ _ | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Security-based swap dealer<br>[!l Broker-dealer<br>□ Major security-based swap participant<br>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.) | | | | | | | | 495 Brickell Avenue - | Suite 2101 | | | | | | | | (No. and Street) | | | | | | | Miami | FL | | 33131 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Guy Phillips | (917) 859-7268 | | guy.phillips@nuorioncapital.com | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | 8. 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 -<br>Suite 218 | Margate | FL | 33063 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 4/13/2010 | | | 5036 | | | | | (Date of Re~istration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | | | | * Claims for exemption from the 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 the basi…Read the full text as markdown