Full text of MOORGATE SECURITIES LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III | 1 2 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | SEC FILE NUMBER | | | | 8-68393 | FACING PAGE | Information Required Pursuant to Rules 17a-5, 27a-12, and 18a-7 under the Securities Exchange Act of 1954 | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--------------------------------|------------------------------------------------------------|--------------------------------------------|------------| | FILING FOR THE PERIOD BEGINNING | | 01/01/21<br>AND ENDING | | 12/31/21 | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | Moorgate Securities LLC<br>NAME OF FIRM: | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>_ Major security-based swap participant<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1686 Union Street, # 307 | | | | | | | | | (No. and Street) | | | | | San Francisco | | CA | | | 94123 | | (City) | | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | 212-555-3898<br>Michael Alexander | | | Michael. Alexander@MoorgatePartners.comn | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>WithumSmith+Brown, PC | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 200 Jefferson Park, Suite 400 Whippany | | | | N.J | 07981 | | (Address) | (City) | | | (State) | (Zip Code) | | 10-18-2003 | | | 100 | | | | (Date of Registration with PC…Read the full text as markdown