Full text of MARK J. MULLER EQUITIES, INC.'s X-17A-5 filed 2023-08-11 (period 2022-10-31). 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 ANNUAL REPORTS FORM X-17A-5 PART Ill FACING PAGE OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-41221 Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 11/01 /21 MM/DD/YY AND ENDING 10/31/22 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: MARK J. MILLER EQITIES, INC. TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 18 PHEASANT DRIVE (No. and Street) RYE NY 10580 (City} (State) (Zip Code} PERSON TO CONTACT WITH REGARD TO THIS FILING ALAN KRIM 516-526-1586 akrim@mullereuqities.com (Name) (Area Code- Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* RAINES AND FISCHER LLP (Name- if individual, state last, first, and middle name) 555 FIFTH AVE-STE 901 NEW YORK NY 10017 (Address) (City) (State) (Zip Code) NOV 5 2009 3760 FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e}(l)(ii}, if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### AFFIRMATION l, Mark J. Muller , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to MARK J. Muller Equities, Inc. as of 10/31/22 , is true and correct. I further swear (or affinn) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. Signature Chief Executive Officer Title IAN G DOUGLAS Notary Put;!: c. State of New Yolic fl<>g . No. 01006340695 C• ::~.;.j in Ne~ssau Coorrty ' ~\_,. ' ·· ;ion Expiros 4/2512024 {2}-----------------------------------------------…Read the full text as markdown