Full text of MARLIN & ASSOCIATES SECURITIES LLC's X-17A-5 filed 2021-02-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # MARLIN & ASSOCIATES SECURITIES LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2020 # AND # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | 0MB APPROVAL | | |--------------------------|--------------|-----------------| | 0MB Number: | | 3235-0123 | | Expires: | | August 31, 2020 | | Estimated average burden | | | | hours per response | | . 12.00 | | SEC FILE NUMBER | | |-----------------|--| | B-68471 | | # **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 O 1/01/2020 | -----------<br>AND ENDING 12/31/2020 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------|--------------------------------------------------------|---------------|--------------|--------------------------------| | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Marlin & Associates Securities LLC | | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | | 570 Lexington Avenue, 48th Floor | | | | | | | | | (No. and Street) | | | | | New York | | NY | | 10022 | | | (City) | | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>Kenneth B. Marlin | | | | 212-257-6060 | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>Friedman LLP | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 100 Eagle Rock Avenue, Suite 200 East Hanover | | | NJ | | 07936 | | (Address) | | (City) | (State) | | (Zip Code) | | CHECK ONE: | | | | | | | I<br>✓<br>Certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | 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 su…Read the full text as markdown