Full text of MOORGATE SECURITIES LLC's X-17A-5 filed 2024-04-11 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8-68393 | **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 **01/01/2023** MM/DD/VY AND ENDING **12/31/202 <sup>3</sup>** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: \_M\_o\_o\_r\_g\_a\_te\_S\_e\_c\_u\_r\_it\_ie\_s\_L\_L\_C \_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D 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 | 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 | 07981 | | | | | | (Address} | (City} | (State} | (Zip Code) | | | | | | 10-08-2003 | | 100 | | | | | | | | | | (PCAOB Reg;stcafoo N" mbec, ff appUca ble) | | | | | | I<br>FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e}(l}(ii}, if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the…Read the full text as markdown