Full text of MOORGATE SECURITIES LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # MOORGATE SECURITIES LLC # STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-01 23 Expires: August 31, 2020 Estimated average burden hours per response .. .. . . 1 2.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-68393 | | 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 roR THE PERIOD BEGINNING | ____<br>o_1_10_1_1_2_0_1 _9 _<br>M M/DD/VY | _ AND EN<br>DING | __<br>___ 1_2_<br>13_1_1_2_0_19<br>_<br>MM /DD/YY | |--------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|------------------|---------------------------------------------------| | | A. REGISTRANT TDENTTFTCATTON | | | | NAM E OF BROKER-DEALER: | Moorgate Securities, LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | 1 Rockerfeller Plaza, 24th Floor | | | | | | (No. and Street) | | | | New York | NY | | 10020 | | (City) | (State) | | (Zip Code} | | NAM E AND TELEPHONE NUMBER OF P ERSON TO CONTACT IN REGARD TO THIS REPORT<br>Michael Alexander | | | 212.554.3898 | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose opinion is contained in this Report* | | | | | WithumSmith+Brown, PC | | | | | | (Name - if individual, st Ole last. first. middle name) | | | | 200 Jefferson Park, Suite 400 | Whippany | NJ | 07981 | | (A ddress) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | If<br>!certified Publi<br>c Accountant<br>DPublic Accountant<br>D<br>Accountant not re sident in United States or any o f its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual reporl be covered by the opinion of an independent public accountant must be supported by a statement of f acts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(2)* SEC 1410 (06-02) Potential persons who are to respond to the collection of information contained in this form are not require…Read the full text as markdown