Full text of R.M. STARK & CO., INC.'s X-17A-5 filed 2020-12-10 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  **Financial Statements and Report of Independent Registered Public Accounting Firm Pursuant to Rule 17a-5** **September 30, 2020** {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . . . . . . . 12.00 | SEC FILE NUMBER | | |-----------------|--| | 8-22543 | | #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 10/01/19 | | AND ENDING 09/30/20 | | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: R.M Stark & Co., Inc | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM L.D. NO. | | | | 730 South Federal Highway | | | | | | | (No. and Street) | | | | | Lake Worth | EL | | 33460 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Gary Stark, 561-243-3815 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Assurance Dimensions | (Name - if individual, state last, first, middle name) | | | | | | Margate | u | 33063 | | | 2000 Banks Road, Suite 218<br>(Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | \*Claims for exemption from the requirement that the amual report be covered by the opinion of an independent platfield. See Section 241 17-56 \*Claims for exemplion from the regularing the unitud report on or the basis for the exemption. See Section 240.17a-5(e)(2) > Potential persons who are to respond to the collection of Potential persons who are to respond required to respond > information contained in this form are not required to respond i…Read the full text as markdown