Full text of SPENCER-WINSTON SECURITIES CORPORATION's X-17A-5 filed 2023-08-07 (period 2023-04-30). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-24995 ### ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 05/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Spencer-Winston Securities Corporation TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer Check here if respondent is also an OTC derivatives dealer [] Major security-based swap participant AND ENDING 4/30/2023 ADDRESS OF PRINCIPAL PLACE OF BUSINESS. (Do not use a P.O. box no.) #### 45 West 47th Street - Suite 402 | New York | | 10036 | |----------|---------|------------| | (City) | (State) | (Zip Code) | PERSON TO CONTACT WITH REGARD TO THIS FILING | | Oscar Echman, President 212-840-0817 | | oechman@spencerwinston.com | | |-----------|--------------------------------------|-------------------------------|----------------------------|--| | | | | | | | 113211361 | | Area Code - Telephone Number) | (Email Address) | | #### (Name) #### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing \* Michael T Remus CPA | | (Name - if individual, state last, first, and middle name) | | | |-------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | PO Box 2555 | Harnilton Square | NJ | 08690 | | (Address) | 18 11/23 | (State) | (Zip Code) | | 02/23/2010 | | 3598 | | | Date of Registration with PCAOB) if applicable) | | | (PCAOB Registration Number, if applicable) | | | For Official USE ONLY | | | | | | | | \* Claims for exemption from the requrenent that the annual regorts of an independent public accountant must be supported by a statument of facts and exception as the basis of the exemption. See 17 CFR 240.17a 5(e)[1][ii), il applicable. Persons who are to respond to the collection of internation this form are not required to respond unless the form displays a currently valid OMB control number {1}------------------------------------------------ #### OATH OR AFFIRMATION | | April 30 , 2 922 , is true and correct. I further swear (or affirm) that nether the company nor any | | | |------------…Read the full text as markdown