Full text of SPARTAN CAPITAL SECURITIES, LLC's X-17A-5 filed 2021-04-15 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### ANNUAL REPORT DECEMBER 31, 2020 {1}------------------------------------------------ | | | UNITEDSf ATES | | 0MB APPROVAL | |-------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------------|--------------------------------------------------------------------------------------| | | | SECURl'l'IFSANDEXCHANGECOMMIS.SION<br>Washington, D.C. 20549 | | 0MB Number:<br>3235-0123<br>Expires:<br>October 31, 2023<br>Estimated average burden | | | | ANNUAL AUDITED REPORT | | nse • 12.00<br>hours<br>r | | | | FORM X-17A-5 | | | | | | PART Ill | | SEC ALE NUMBER | | | | | | 8-67801 | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | FACING PAGE<br>Securities Exchange Act of 1934 and Rule l 7a-S Thereunder | | | | | REPORT FOR THE PERIOD BEGINNING O 1/01/2020 | | AND ENDING 12/31/2020 | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Spartan Capital Securities, LLC | | | OFACIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM 1.D. NO. | | 45 Broadway, 19th Floor | | | | | | | | (No. and Street) | | | | | New York | NY | | 10006 | | (Ci1 | ty ) | (State) | | (Zip Code) | | 7167995700 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | | Rosenfield and Company, PLLC | | | | | | | (Name - I/ Individual, slate last, first, midd/11 nam11) | | | | | 1 Penn Plaza, 250 W 34th Street. Suite 1705 | New York | NY | 10119 | | (Address) | | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | | | | | | | | § | Certified Public Accountant<br>Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | *Claims for exemption from lhe ref/uiremenl lhal the annual report be covered by lhe 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. I 7 a…Read the full text as markdown