# EDGAR Filing Document

**Accession Number:** 0001333702
**File Stem:** 0001333702-23-000001
**Filing Date:** 2023-1
**Character Count:** 12177
**Document Hash:** bea7413109961875dbfcbc99492603ec
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001333702-23-000001.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001333702-23-000001

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SAMCO CAPITAL MARKETS, INC.
- **CENTRAL INDEX KEY:** 0001333702
- **IRS NUMBER:** 202932662
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00487
- **FILM NUMBER:** 23505063

**BUSINESS ADDRESS:**
- **STREET 1:** 6805 CAPITAL OF TEXAS HIGHWAY
- **STREET 2:** SUITE 350
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78731
- **BUSINESS PHONE:** 214 765-1466

**MAIL ADDRESS:**
- **STREET 1:** 6805 CAPITAL OF TEXAS HIGHWAY
- **STREET 2:** SUITE 350
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78731

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001333702

**Filer CCC:** XXXXXXXX

**Contact Name:** Lee Maverick

**Contact Phone:** 512-637-3775

**Contact Email:** lmaverick@samcocapital.com

**Notification Emails:** jmannes@samcocapital.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** SAMCO CAPITAL MARKETS, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 136532

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** Yes

**C. IRS Employer Identification Number:** 20-2932662

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00484-00

- **Municipal Advisor:** SEC File No: 867-00487

- **Broker-Dealer:** SEC File No: 008-67023, CRD No: 136532

- **Other:** Description: MSRB, ID: A6695

**E. Principal Office and Place of Business:** 6805 CAPITAL OF TEXAS HIGHWAY, SUITE 350, AUSTIN, TX, 78731

**Telephone Number:** 512-794-9100

**Additional Offices of Employment:**

- **Office #1 (Add):** 1700 Pacific Ave., Suite 2000, Dallas, TX, 75201 | Phone: 214-765-1466

- **Office #2 (Add):** 1020 NE Loop 410, Suite 640, San Antonio, TX, 78209 | Phone: 210-832-9760

- **Office #3 (Add):** 5800 Granite Parkway, Suite 210, Plano, TX, 75024 | Phone: 214-765-1469

- **Office #4 (Add):** 5201 Johnson Drive, Suite 415, Mission, KS, 66205 | Phone: 816-221-4042

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.samcocapital.com

**G. Chief Compliance Officer (CCO):**

**Name:** Joseph Lee Maverick

**Address:** 6805 Capital of Texas Highway, Suite 350, Austin, TX, 78731

**Phone Number:** 512-637-3775

**Email:** lmaverick@samcocapital.com

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** TX

**D. Date of Organization:** 05-09-2005

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 52

**B. Municipal Advisory Activities - Employees:** 20

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 20

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 50

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Hospitals
Colleges
, Hospitals, Colleges

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** Yes

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                 | Title/Status                    | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| SAMCO Holdings, Inc. | Shareholder                     | 05-01-2006      | E - 75% or more   | Yes               | 20-2804766   |  |
| Roger James Engemoen | Chairman, Director              | 05-01-2005      | NA - less than 5% | Yes               |  | 1506062      |
| Joseph Reid Mannes   | CSO, President, ROSFP           | 09-01-2005      | NA - less than 5% | Yes               |  | 1946872      |
| Joseph Lee Maverick  | Chief Compliance Officer, ROSFP | 10-01-2007      | NA - less than 5% | Yes               |  | 2170350      |
| Olga Inez Maldonado  | CFO, Controller, FINOP          | 06-01-2016      | NA - less than 5% | Yes               |  | 1974097      |

### Schedule B: Indirect Owners

| Owning Entity        | Name                 | Title/Status   | Date Acquired   | Ownership Code            | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| SAMCO Holdings, Inc. | Roger James Engemoen | Shareholder    | 01-01-2007      | C - 25% but less than 50% | Yes               |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity        | Name                 | Title/Status                    | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | SAMCO Holdings, Inc. | Shareholder                     | 05-01-2006      | E - 75% or more           | Yes               | 20-2804766   |  |
|  | Direct      |  | Roger James Engemoen | Chairman, Director              | 05-01-2005      | NA - less than 5%         | Yes               |  | 1506062      |
|  | Direct      |  | Joseph Reid Mannes   | CSO, President, ROSFP           | 09-01-2005      | NA - less than 5%         | Yes               |  | 1946872      |
|  | Direct      |  | Joseph Lee Maverick  | Chief Compliance Officer, ROSFP | 10-01-2007      | NA - less than 5%         | Yes               |  | 2170350      |
|  | Direct      |  | Olga Inez Maldonado  | CFO, Controller, FINOP          | 06-01-2016      | NA - less than 5%         | Yes               |  | 1974097      |
|  | Indirect    | SAMCO Holdings, Inc. | Roger James Engemoen | Shareholder                     | 01-01-2007      | C - 25% but less than 50% | Yes               |  | 1506062      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMCO Capital Markets, Inc.

- **CRD Number:** 136532

- **Disclosure Number:** 1436925

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMCO Capital Markets, Inc.

- **CRD Number:** 136532

- **Disclosure Number:** 1436926

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMCO Capital Markets, Inc.

- **CRD Number:** 136532

- **Disclosure Number:** 1272477

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** Roger James Engemoen

  - **CRD Number:** 1506062

  - **Filed On (AP):** Form ADV/BD/U4 for Roger James Engemoen, Jr.

  - **Disclosure Number:** 1158628

### Execution Page

**Signature:** Lee Maverick

**Signer Name:** Lee Maverick

**Title:** CCO

**Date:** 01-04-2023

**CRD Number:** 136532