Full text of MARCO POLO SECURITIES INC.'s X-17A-5/A filed 2020-04-01 (period 2019-12-31). 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 AUDITED REPORT FORM X-17A-5 PARTIII** | | 0MB A~PROVAL | |--------------------------|---------------------------| | 0MB Number: | 3235-01 23 | | Expires: | August 31 , 2020 | | Estimated ave~age burden | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | | | I<br>&-51480 | | | I | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNINGO1 /O1 /19 | AND ENDING 12/31/19 | | | | | |-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------|--|-------------------------|----------------|-------------------| | MM/DD/YY | | | -----------<br>MM/D0/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF BROKER-DEALER: Marco Polo Securities, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | OFFICIAL USE ONLY | | | | | | | FIRM 1.0. NO. | | 144 East 44th Street, 8th Floor | | | | | | | | (No. and Street) | | | | | | New York | NY | | | 10017 | | | (City) | (State) | | | (Zip ode) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Clifford Goldman | | | | (917) 881-7973 | | | | | | | (Area Code | Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Lerner & Sipkin CPAs, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | (Name - if individual, state last. first. middle name) | | | | | | | 132 Nassau Street, Ste. 1023 New York | | NY | | 10038 | | (Address) | (City) | | (State) | | (Zip Code) | | CHECK ONE: | | | | | | | I ti I<br>certified Public Accountant | | | | | | | | | | | | | | B Public Accountant | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as 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 unless the form dis…Read the full text as markdown