Full text of MARK J. MULLER EQUITIES, INC.'s X-17A-5 filed 2022-02-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **MARK J. MULLER EQUITIES, INC.** ## STATEMENT OF FINANCIAL CONDITION OCTOBER 31, 2021  {1}------------------------------------------------ 555 FIFTH AVENUE TEL. 212 953 9200 I **l** 9TH FLOOR FAX. 212 953 9366 NEW YORI<, NY 10017 ## **REFORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Sole Stockholder of Mark J. Muller Equities, Inc.: ## **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of Mark J. Muller Equities, Inc. (the "Company''), as of October 31, 2021, and the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of October 31, 2021 in conformity with accounting principles generally accepted *in* the United States of America. ## **Basis for Opinion** This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit *in* accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. The Company is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audit we are required to obtain an understanding of internal control over financial reporting, but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evalu…Read the full text as markdown