Full text of MARCO POLO SECURITIES INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). 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** 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 0MB APPROVAL 8-51480 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | 12_0_22 ____<br>___ 11<br>1_<br>_ | AND ENDING ___ 1_ | 12_0_22 __<br>2_<br>1_<br>13_<br>_ | | |----------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------|--------------------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: __ M_a_rc_o_P_o_lo_S_e_c_u_r_iti_e_s,_l_n_c_. ___________________ | | | _ | | | TYPE OF REGISTRANT {check all applicable boxes): | | | | | | lxl Broker-dealer<br>□ Major security-based swap participant<br>□ Security-based swap dealer | | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) | | | | | | 1230 Avenue of the Americas, 16th floor | | | | | | | (No. and Street) | | | | | New York City | | NY | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Alex Mack | 917-923-1478 | amack@mpsecurities.com | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Raphael Goldberg Nikpour Cohen & Sullivan CPAs PLLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 97 Froehlich Farm Blvd. | Woodbury | NY | 11797 | | | (Address) | (City) | (State) | (Zip Code) | | | 02/23/2010 | | | 5028 | | | rte<br>of Reg;stcafoo w;th PCAOB)(;f appUcable} | | | (PCAOB Reg;w,uoo N"m bee, ;f appUcable I I | | | | 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)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in…Read the full text as markdown