Full text of SPENCER CLARKE LLC's X-17A-5 filed 2020-06-01 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # SPENCER CLARKE LLC # FINANCIAL STATEMENTS # AND # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED MARCH 31, 2020 {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL 3235-0123 OMB Number: Expires: August 31, 2020 Estimated average burden hours per response .. . . . . . . 12.00 SEC FILE NUMBER 8-49362 # 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 | | April 1, 2019 | AND ENDING | March 31, 2020 | | |------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--| | REPORT FOR THE PERIOD BEGINNING | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | SPENCER CLARKE LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 555 Madison Ave 5th Floor | | | | | | (No. and Street) | | | | | New York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Reid Drescher | | | 212-446-6111 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | Ohab and Company, PA | | | | | | (Name - if individual, state last, first, middle name) | | | | | 100 E Sybelia Avenue, Suite 130 Maitland | | ﯩﺘ | 32751 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | nt \*Claims for exemption from the requirement that the o \*Claims for exemplion from the requrement mat the unitur report on the basis for the exemption. See Section 240.17a-5(e)(2) > Potential persons who are to respond to the collection of > information contained in this form are not required to respond > in in the formedianlays a surrently valid OM information contained in this form are not required to respond…Read the full text as markdown