Full text of MIDDLEGATE SECURITIES LTD.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). 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: October 31 , 2023 Estimated average burden hours per response . . . 12.00 ## **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** | REPORTFORTHEPERIODBEGINNING | | MMIDDIYY | O~l~O~l/~2~0~~ANDENDING~~---= | 3~1/=20.__~~-<br>MM/DDIYY | | | | | | |----------------------------------------------------------------------------|--------------------------|--------------------------------------------------------|-------------------------------|--------------------------------------------------|--|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF BROKER -<br>DEALER: | | | | OFFICIAL USE ONLY | | | | | | | Middlegate Securities Ltd. | FIRM TD.NO. | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | | | (d Street) | 8 West 40'h Street 4th Floor | | | | | | | | | New York<br>(City) | 10018-3805<br>(Zip Code) | | | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | | | Howard Spindel | | | | (212~ 897-1688<br>(Area Co e -<br>Telephone No.) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | | | | Mazars USA LLP | | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | | | 135 West 50th Street | New York | | NY | 10020 | | | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | | | | CHECK ONE: | | | | | | | | | | | [!]<br>Certified Public Accountant | | | | | | | | | | | D<br>Public Accountant | | | | | | | | | | | I I<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supporJed by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.* J *7a-5(e)(2).SEC* 1410 (3-9 1) SEC FILE NUMBER 8-39031 | SEC FILE | | |----------|--| | NUMBER | | {1}----------…Read the full text as markdown