Full text of MOORGATE SECURITIES LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | | |---------------------------|--|--| | OMB Number: 3235-0123 | | | | Expires: Oct. 31, 2023 | | | | Estimated average burden | | | | 12<br>hours per response: | | | SEC FILE NUMBER 8-68393 1 ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 01/01/2022 | | 12/31/2022 | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|--------------------------------------------|--| | | MM/DD/YY | AND ENDING | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | Moorgate Securities LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Security-based swap dealer<br>La Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | □ Major security-based swap participant | | | 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 | | | | | | Michael Alexander | 212-555-3898 | | Michael.Alexander@MoorgatePartners.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | WithumSmith+Brown, PC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 200 Jefferson Park, Suite 400 Whippany | | | NJ<br>07981 | | | (Address) | (City) | | (State)<br>(Zip Code) | | | 10-18-2003 | | 100 | | | | (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 of an independent public<br>accountant must be supported by a stateme…Read the full text as markdown