Full text of MIDDLEGATE SECURITIES INC.'s X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES A.'\'D EXCHA~GE CO~fMISSION Washington, D.C. 20549 # AN UAL REPORTS FORM X-17A-5 PARTIII | 0MB APPROVAL | |--------------------------| | 0MB Number: 323S-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | SEC ALE NUMER | 8- 39031 FACING PAGE Information R('quir('d Pursuant to Ru1('S 17a-5. 17a-12, and 18a-7 under the Securities .Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING O 1/01 /22 Al"lD ENDING **12/31 /22** MMDD'YY **~L\.1'DDYY** # **A. REGISTRA.~T IDENTIFICATION** # NAME OF FIRM: Middlegate Securities Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer O Security-based swap dealer O Major security-based swap participant D Check here if respondent is also an OTC deri\atiYcs dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 8 West 40th Street, 4th Floor | 10018-3805 | |-------------------------------| | | | (Zip Code) | | | | hspindel@integrated.so1utions | | (Email Address) | | | | | | | Mazars USA LLP | | | | | |-----------------------------------------------|-----------------------------------------------------------|---------------------------------------------|------------|--|--| | | (Name - t f individual. state last first and middle name) | | | | | | 135 West 50th Street | New York | NY | 10020 | | | | (Addr~) | (City) | (Stalt!) | (/1p Code) | | | | 10/08/2003 | 339 | | | | | | (Date of Rcgtstmtion with PCAOB)(ifapphcable) | | (PCAOB Regi~tralion :-;umber. ifapplicable) | | | | #### **FOR OFFICIAL CSE O~LY** • Clauns for exemption from the requirement that the annual rcporu. be covered by the repom. of an mdcpcndent public accountant must be supported by a statement of facts and circumstances re!Jed on as the basis of the excmpllon. See 17 CFR 240.17a-5(eX I )(ii), tf applicable. P(.'r.on~ who ar(.' to re51>0nd to the <'Oll(.'<'tion of information <'ontained in this form are not r(.'quired to r~ond 1tn.le\~ th(.' form displays a currently ,alid 0MB contrnl number. {1}------------------------------------------------ # AFFI lb 1 *:\* TION I, Steven Ostrofsky , swear {or affirm) that, to the best of my knowledge and belief, the financi.11 report pertaining to Middlegate Securities Inc. as of 12/31/22 , is true and correct. I further swear {or affirm) that neither the company nor any partner, officer, di.rector, or equiv~lent person, as the case may be, has any proprietary inte…Read the full text as markdown