SAMCO Capital Markets Inc.

03/20/2023 | Press release | Distributed by Public on 03/20/2023 09:17

Information Required of Brokers and Dealers - Form X-17A-5

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001333702
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
01-01-2022
and Ending
12-31-2022
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
SAMCO CAPITAL MARKETS, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
6805 CAPITAL OF TEXAS HIGHWAY
Address 2
SUITE 350
City
AUSTIN
State/Country
TEXAS
Mailing Zip/ Portal Code
78731

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Joe Mannes
Telephone Number
214-765-1446

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Crowe, LLP
Address 1
485 Lexington Avenue
Address 2
Floor 11
City
New York
State/Country
NEW YORK
Mailing Zip/ Postal Code
10017
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Joseph R. Mannes, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of SAMCO CAPITAL MARKETS, INC., as of 03-20-2023, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Joseph R. Mannes
Title
President

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.