Full text of CARL MARKS SECURITIES LLC's X-17A-5 filed 2020-02-26 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington,** D.C. **20549** 0MB APPROVAL 0MB Number: 3235--01 23 Expires: August 31, 2020 Estimated **average** burden hours per response .. . ... 12.00 SEC FILE NUMBER 8-67642 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PACE** **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 BEGINNING 01/01/2019 | AND ENDING 12/31/2019 | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------|---------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Carl Marks Securities LLC<br>ADDRESS OF PRINC'IPAL PLACC OF BUSINESS: (Do not use P.O. Box No.)<br>900 Third Avenue, 33rd FL | | | OFFICIAL USE ONLY | | | | | | FIRM 1.0. NO. | | | | (No a.nd Street) | | | | | New '7t:lJtk | NY | | 10022 | | | (Cit)) | (State) | | | | | | B. ACCOUNTANT IDENTIFICATION | | (Area Code<br>Telephone Number) | | | INDEPEND .NT P BLIC A(TOUNTANT whose opinion is contained in this Report•<br>Eisner Amper LLC | | | | | | | (Name - If ind,wduol. llole last. first. middle nom~) | | | | | 750 Third Avenue<br>(Address) | New York | NY<br>(State) | 10017<br>(Z1p Code) | | *•Claims for exemption from the requirement that the annual reporl be covered by the opinion of an independent public accountant* mus/ *be supported by a stateme/11 of facts and circ11ms101,ces relied on as 1he basis/or lhe exemplion. See Section 24()\_ 17a-5(e}(2)* > Potential persons who are to respond to the collectlon of Information contained In this form are not required to respond unless the form displays a currently valid 0MB control number. SEC 141 0 (11-05) {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | __________________<br>J. Robert Speer, CFO | | , swear (or affirm) that, to the best of | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---|-------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown