Full text of LOCKTON RE CAPITAL MARKETS, LLC's X-17A-5 filed 2026-06-23 (period 2026-04-30). 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: Nov 30, 2026 Estim ated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-70988 | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|------------|------------------------------|-----------------------------------------------|--| | | ----------<br>05/01/2025 | | | -----------<br>04/30/2026 | | | FILING FOR THE PERIOD BEGINNING | MM/DD/VY | AND ENDING | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: LOCKTON RE CAPITAL MARKETS, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 48 WEST 25TH STREET, 7TH FLOOR | | | | | | | | (No. and Street) | | | | | | NEW YORK | NY | | 10010 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Sara Panegasser | (816) 679-0024 | | sara.panegasser@lockton .com | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Baker Tilley US, LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 14555 Dallas Pkwy, #300 | Dallas | | TX | 75254 | | | (Address) | (City) | | (State) | (Zip Code) | | | 10/22/2003 | | 23 | | | | | rt• of R,g;stcat;oo w;th PCAOB)l;f appl;cable) | | | | I<br>(PCAOB Regdcafoo N"mbec, ff a pp!;cable) | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an in…Read the full text as markdown