Full text of CARL MARKS SECURITIES LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. <sup>20549</sup>** OMB Number: 3235-0123 Expires: Oct. 31, <sup>2023</sup> Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-67642 ## **ANNUAL REPORTS FORM X-17A-5 PART III** **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 01/01/2021 AND ENDING 12/31/2021 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** #### NAME OF FIRM. : Carl Marks Securities LLC TYPE OF REGISTRANT (check all applicable boxes): H Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) # 900 Third Avenue, 33rd FL | NY<br>(State)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | 10022<br>(Zip Code) | |---------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------| | | | | | | | | | | | | | rspeer@carlmarks.com | | | | Telephone Number) | (Email Address) | | | | | | | | | | | | | 10017 | | | | (Zip Code) | | 274 | | | | | | | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number,if | applicable) | | | (212)909-8432<br>-<br>(Area Code<br>reports<br>INDEPENDENT PUBLIC ACCOUNTANT whose<br>are<br>contained<br>in<br>state last,first,and<br>individual,<br>New<br>York<br>(City) | ACCOUNTANT IDENTIFICATION<br>this<br>filing*<br>middle name)<br>NY<br>(State) | \* 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 this form are not required to respond unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ | OATH OR AFFIRMATION | |---------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown