Full text of CARL MARKS SECURITIES LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### QMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,D.C. <sup>20549</sup>** ' I ! r *\* OMB Number: 3235-0123 Expires:Oct. 31,2023 Estimated average burden hours per response: <sup>12</sup> # **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | 8-67642 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of <sup>1934</sup>** | | MM/DD/YY | | MM/DD/YY | | |-------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|---------------------------------|-------------------------------------------|--| | A.<br>REGISTRANT IDENTIFICATION | | | | | | Securities,<br>Carl<br>Marks<br>LLC<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all<br>CXBroker-dealer | applicable boxes):<br>Major<br>Security-based swap dealer<br>Check hereIf respondent is also an OTC derivatives dealer | security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not | use a P.O. | box no.) | | | | Avenue,<br>900<br>Third<br>33rd | Floor | | | | | (No.<br>and Street) | | | | | | New<br>York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Speer<br>Robert | 212-909-8400 | | rspeer@carlmarks.com | | | (Name) | (Area Code-Telephone<br>Number) | (Email Address) | | | | | B,<br>ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>LLP<br>EisnerAmper | are contained<br>(Name-if | filing*<br>in<br>this | | | | | state last,first,and<br>individual, | middle name) | | | | 733<br>Third<br>Avenue | New<br>York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/29/2003 | | 274 | ,if | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number<br>applicable) | | accountant must be supported by <sup>a</sup> statement of facts andcircumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(li),if applicable. **Persons who are to respondtothe collection of information contained inthis form are notrequired to respond unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | swear (or affirm) that,to<br>the best of…Read the full text as markdown