Full text of CARL MARKS SECURITIES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: October 31,2023 Estimated average burden ## hours per response 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | s-67642 | **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 BEGINNING | 01/01/20<br>12/31/20<br>AND ENDING | | | | |-----------------------------------------------------------------------------------------|---------------------------------------------------------------------|----------------|---------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. | REGISTRANT<br>IDENTIFICATION | | | | | Carl<br>Marks<br>Securities<br>LLC<br>NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS:<br>(Do not use P.O.<br>Box No.) | | | FIRM I.D.<br>NO. | | | 900<br>33rd<br>Third<br>Avenue,<br>Floor | | | | | | | ( No.<br>and Street) | | | | | New<br>York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Robert Speer | | | 212-909-8400<br>(Area Code -<br>Telephone Number) | | | B. | ACCOUNTANT | IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Eisner<br>Amper<br>LLP | | | | | | | ( Name -if<br>individual, state last, first, middle name ) | | | | | 733<br>Third<br>Avenue | New<br>York | NY | 10017 | | | ( Address) | (City ) | (State) | (Zip Code) | | | ONE:<br>CHECK | | | | | | X<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | USE<br>FOR<br>OFFICIAL | ONLY | | | | | | | | | | | | | | | *^Claims for exemption from the requirement that the annual report he 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** SEC <sup>1410</sup> **unless the form displays <sup>a</sup> currently validOMB controlnumber.** (11-05) {1}------------------------------------------------ #…Read the full text as markdown