Full text of SPENCER CLARKE LLC's X-17A-5 filed 2023-06-27 (period 2023-03-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response:<br>12 | | |---------------------------|--| | SEC FILE NUMBER | | | 8-49362 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |-----------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------|-----------------------------------------|-----------------------------------------------| | 03/31/2023<br>04/01/2022<br>AND ENDING | | | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/VY | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | vs or snR, Spencer Clarke LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[E Broker-dealer<br>□<br>Check here if respondent is also an OTC derivatives dealer | [l Security-based swap dealer | | [ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1111 Lincoln Road Suite 500 | | | | | | | (No. and Street) | | | | | Miami Beach | | Florida | | 33139 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Reid Drescher | (212) 446-6111 | | | rdrescher@spencerclarke.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ohab and Company, PA | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | 100 E. Sybelia Ave Suite 130 | | Maitland | FL | 32751 | | (Address)<br>07/28/2004 | (City) | | (State)<br>1839 | (Zip Code) | | rte of Registration with PCAOB)(it applicable) | | FOR OFFICIAL USE ONLY | | (PCAOB Regist,atioo Number, if applicable I I | 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…Read the full text as markdown