Full text of MOORGATE SECURITIES LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **MOORGATE SECURITIES LLC** ### **STATEMENT OF FINANCIAL CONDITION** **DECEMBER 31, 2020** {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB APPROVAL | | |---------------------------|------------------| | OMB Number: | 3235-0123 | | Expires: | October 31, 2023 | | Estimated average burden | | | hours per response 12.00 | | | SEC FILE NUMBER | |-----------------| | 8-68393 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING | 12/31/2020 | | |-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>1686 Union Street, # 307 | | | | | | | | | FIRM I.D. NO. | | | | (No. and Street) | | | | | San Francisco | CA | | 94123 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | 212-555-3898 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | WithumSmith+Brown, PC | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 200 Jefferson Park, Suite 400 | Whippany | NJ | 07981 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | Claima fare second . | | | | | \*Claims for exemption from the requirement that the covered by the opinion of an integendent public accountant must be supported by a statement that the unital report be covered by the opinion of an intependent public accommitant polic accommitan. must be supported by a statement of f > Potential persons who are to respond to the collection of > information contained in this formars not required t…Read the full text as markdown