Full text of CARL MARKS SECURITIES LLC's X-17A-5 filed 2025-03-03 (period 2024-12-31). 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 20549** OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | 8-67642 | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, <sup>17</sup>a-12, and <sup>18</sup>a-<sup>7</sup> under the Securities Exchange Act of <sup>1934</sup>** | FILING FOR THE PERIOD BEGINNING | 01/01/2024 | AND ENDING | 12/31/2024 | |---------------------------------|------------|------------|------------| | | MM/DD/YY | | MM/DD/YY | **A.REGISTRANT IDENTIFICATION** #### NAME OF FIRM: .Carl Marks Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 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> <sup>P</sup>.O. box no.) # 900 Third Avenue, 33rd Floor ? | | {No. and Street) | | | |-------------------------------------------------------------------------------------------------|----------------------------------------------------------|-------------------------------------------|----------------------| | York<br>New | 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 Number) | (Email Address) | | | | ACCOUNTANT IDENTIFICATION<br>B. | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>EisnerAmper<br>LLP | (Name -if individual, state last,first, and middle name) | | | | Third<br>733<br>Avenue | York<br>New | NY | | | (Address) | | | | | | (City) | (State) | 10017<br>(Zip Code) | | 09/29/2003 | | 274 | | | (Date of Registration with PCAOB)(jf applicable) | | (PCAOB Registration Number,if applicable) | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(ii),**if** applicable. **Persons who are to respond to the collection of information containedin this form are notrequired to respond unless the form displays <sup>a</sup> currently valid OMB control number.** {…Read the full text as markdown