Full text of MOORELAND PARTNERS LLC's X-17A-5 filed 2020-03-16 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2019 {1}------------------------------------------------ ### **CONTENTS** ### SECTION I # REPORT PURSUANT TO RULE 17a-5(d) OF THE SECURITIES AND EXCHANGE COMMISSION PAGE | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 1-2 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------| | STATEMENT OF FINANCIAL CONDITION | 3 | | STATEMENT OF INCOME | 4 | | STATEMENT OF CHANGES IN MEMBER'S EQUITY | 5 | | STATEMENT OF CASH FLOWS | 6 | | NOTES TO FINANCIAL STATEMENTS | 7-10 | | SUPPLEMENTARY INFORMATION | | | Computation of Net Capital Pursuant to Uniform Net Capital Rule 15c3-1 | 11 | | Computation for Determination of the Reserve Requirements and Information<br>Relating to Possession or Control Requirements for<br>Brokers and Dealers Pursuant to Rule 15c3-3 | 12 | | SECTION II | | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 13 | | EXEMPTION REPORT | 14 | {2}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: "VHVTU Estimated average burden hours per response.. . . . . 12.00 **8-** SEC FILE NUMBER 65994 # **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** | | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|-----------------------------------------------------------| | REPORT FOR THE PERIOD BEGINNING______________________________ AND ENDING______________________________ | 01/01/2019 | | 12/31/2019 | | | MM/DD/YY | | MM/DD/YY | | A. | REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | Mooreland Partners LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 787 7th Avenue<br>__________________________________________________________________________________________________________…Read the full text as markdown