Full text of CARL MARKS SECURITIES LLC's X-17A-5 filed 2026-03-04 (period 2025-12-31). 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. 20549** OMB Number: 3235-0123 Expires: Nov. 30, <sup>2026</sup> 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, 17a-12, and 18a-7 under the Securities Exchange Act of 19S4** FILING FOR THE PERIOD BEGINNING 01/01/2025 AND ENDING 12/31/2025 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Carl Mark 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> P.O. box no.) | Avenue,<br>900<br>Third | 10th<br>Floor,<br>Ste<br>1003 | |-------------------------|-------------------------------| | | | | | (No. and Street) | | | | |-----------------------------------------------------------|-------------------------------------------|-------------------------------|-------------|--| | New<br>York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Robert<br>Speer | 212-909-8400 | rspeer@carlmarks.com | | | | (Name) | -<br>(Area Code<br>Telephone Number) | (Email Address) | | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose<br>EisnerAmper<br>LLP | reports<br>are<br>contained | this<br>filing*<br>in | | | | (Name | -if<br>individual,state<br>last,first,and | middle name) | | | | 733<br>Third<br>Avenue | New<br>York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/29/2003 | | 274 | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number,if | applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | \* 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 contained in this form are not required to respond unless the form displays a currently valid OMB control number.** {1}--------------------------------------…Read the full text as markdown