Full text of SPARTAN CAPITAL SECURITIES, LLC's X-17A-5 filed 2022-06-08 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### ANNUAL REPORT DECEMBER 31, 2021 {1}------------------------------------------------ UNITEDST ATF.S SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 | OMBAPPROVAL | | | | |-----------------------------------|--------------|--|--| | 0MB Number: | 3235-0123 | | | | Expires: | May 31, 2017 | | | | Estimated average burden | | | | | hours cer resi:,onse •••••• 12.00 | | | | SEC FILE NUMBER B-'71-SQJ ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill FACING **PAGE** Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2021 | | | |-------------------------------------------------------------------|-------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | MM/DDNY | | MM/ODNY | | | | | | NAME OF BROKER-DEALER: Spartan Capital Securities, LLC. | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | (No. and Street) | | | | NY | | 10006 | | (State) | | (Zip Code) | | | | | | | | (Area Code - Telephone Number) | | | | | | | | | | New York | NY | 10119 | | (City) | (State) | (Zip Code) | | | | | | | | | | | Rosenfield and Company, PLLC. | AND ENDING 12/31/2021<br>A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>8. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report•<br>(Name - lflndlvldwl. stott lost,jlrst. middlt nomt)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See Section 240.17a-5(e)(2)* > **PotenUal persons who are to respond to the collecUon of Information contained In this form are not recndred to respond unless the form displays a currently valid 0MB control number.** SEC 14…Read the full text as markdown