Full text of MIDDLEGATE SECURITIES LTD.'s X-17A-5 filed 2020-03-03 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 8-39031 SEC FILE NUMBER ## **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** | REPORT FOR THE PERIOD BEGINNING ____ O~l/~O~l/~19 | | MMIDDNY | __<br>AND ENDING. | __<br>____:_1=2/-=3::.1/!.cl9=-----<br>MMroD/YY | |---------------------------------------------------------------------------------------------------------------|--------------------|--------------------------------------------------------|-------------------|-------------------------------------------------| | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER -<br>DEALER: | | | | | | Middlegate Securities Ltd. | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSrNESS: (Do not use P.O. Box No.) | | | | FIR.MID. NO. | | | 8 West 401 | h Street 4th Floor | | | | | (d Street) | | | | | New York | NY | | | 100<br>18-3805 | | (City) | (State) | | | (Zip Code) | | Howard Spindel | | | | (212J 897-1688<br>(Area Coe - | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | Mazars USA LLP | | Telephone No.) | | | | (Name - if individual, state last. first, middle name) | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>135 West 50th Street<br>(Address) | New York<br>(City) | | NY<br>(State) | (0020<br>(Zip Code) | | | | | | | | [!] Certified Public Accountant | | | | | | | | | | | | CHECK ONE:<br>D<br>Public Accountant | | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | *\*Claims for exemption ji·om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 2./0. /7a-5(e)(2).SEC* 1410 (3-91) {1}------------------------------------------------ # **Middlegate Securities Ltd.** ## **TABLE OF CONTENTS** ## **This report \*\* contains (check all applicable boxes):** - [x] Report of Independent Registered Public Accounting Finn. - [x] Facing Page. - [x] Statement of Financial Condition. - [ ] Statement of Operations. - [ ] Statement of Changes in Stockholders' Equity.…Read the full text as markdown