Full text of NCMG LLC's X-17A-5 filed 2023-02-22 (period 2022-12-31). 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** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** REPORT FOR THE PERIOD-BEGINNING 08/03/2022 AND ENDING 12/31/2022 MM/DD/VY MM/DD/VY # **A. REGISTRANT IDENTIFICATION** #### NAME OF FIRM: **NCMG** LLC TYPE OF REGISTRANT (check all applicable boxes): 181Broker-dealer Security-based swap dealer 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 East 52nd Street, | Suite 14001 | | | |--------------------------------------------------|---------------------------------------------------------------------------|-------------|--------------------------------------------|--| | | (No. and Street) | | | | | New York | | NY | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Tim Biggins | 646-876-0109 | | tlm@ncmg.llc | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Mazars USA LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 135 West 50th Street | New York | NY | 10020 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/08/2003 | | | 339 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* 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 offacts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e){l)(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.** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | SEC FILE NUMBER | | |--|-----------------|--| | | | | **8-70824** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** I, Tim Biggins, swear…Read the full text as markdown