Full text of SPENCER CLARKE LLC's X-17A-5 filed 2024-06-04 (period 2024-03-31). 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 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 OMB APPROVAL 0MB Number: 3235-0123 > SEC FILE NUMBER 8-49362 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | au+on mus reaoo atom«o 0 | 4<br>0<br>0<br>1<br>0<br>2<br>0<br>2<br>8 o | no | 0<br>3<br>0<br>3<br>1<br>0<br>2<br>0<br>2<br>4 | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|--------------|------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: SPENCER CLARKE LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>[ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | D 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* | | | | | Ohab and Company, PA | | | | | | (Name -if individual, state last, first, and middle name) | | | | 100 E Sybelia Ave Suite 130 | Maitland | FL | 32751 | | (Address) | (City) | (State) | (Zip Code) | | 07/28/2004 | | 1839 | | | | | | | | (rte of Registration with PCAOB)(if applicable) | 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-5(e)(1)(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 0MB control number. {1}------------------------------…Read the full text as markdown