Full text of TOWER PRINCIPAL MARKETS LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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** | OMB APPROVAL | |--------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | SEC FILE NUMBER 8 - 68304 FACING PAGE lnfoll'mation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | _____<br>___<br>-'O=-=l_/O=-=l~/2=0=2=-3<br>MM/DD/YY | | AND ENDING 12/31/2023<br>MM/DD/YY | |-----------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Tower Principal Markets LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~Broker-dea ler | 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.) | | | | | 111 Coleman Blvd Suite 404 | | | | | | (No. and Street) | | | | Mt. Pleasant | SC | | 29464 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD 10 THIS FILING | | | | | Michael Ellman<br>(Name) | (646) 541-3934<br>(Area Code-Telephone Number) | (Email Address) | mellman@tower-research.com | | | B. ACCOUNTANTIDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US LLP | (Name - if individual, state last, first, and middle name) | | | | 30 South Wacker, Suite 3300 | Chicago | IL | 60606 | | (Address) | (City) | (State) | (Zip Code) | | 9/24/2003 | | 49 | | | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | CFR 240.l?a-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 OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Sean Concannon | . swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------------------------------------------------------------|-------------------------------------------------------------------------------------…Read the full text as markdown