Full text of FOGEL NEALE SECURITIES, LLC's X-17A-5 filed 2019-03-14 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST A TES SECURITIES AND EXCHANGE COMMJSSION Washington, D.C. 20549 > **ANNlJAL AUDITED REPORT FORM X-17A-5 PARTill** #### **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 | | ~---'0~1~ro~1~/l=8~~~ANDEND1NG<br>MMIDD/YY | 12/31/1<br>8<br>MM/DD/YY | |---------------------------------------------------------------------------|---------------------------------------------|--------------------------------------------------------|----------------------------------| | | | A. REGISTRANT lDE TIFICATION | | | NAME OF BROKER -<br>DEALER: | | | OFFICIAL USE ONLY | | FogeJ Neale Securities, LLC | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | A.RMID. NO. | | | | | | | | 39 Broadway. Suite 3300<br>(No. and Su-ee1) | | | | | NY | | 10006 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER Of PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Ralph Fogel | | | (646) 708-9020 | | | | | (Area Code -<br>Telephone<br>o.) | | | | | | | | | B. ACCOUNTANT IDE~TIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in chis Report* | | | | | | Lerner. Sipkin. CPA's. LLP | | | | | | (Name - if individual, state last. first. middle name) | | | 132 Nassau Street Suite I 023 | New York | NY | 10038 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | ~ Certified Public Accountanl | | | | | D<br>Public Accountant | | | | | D<br>Accountant not resident in United St.ates or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be co,,ered by the opinion of an independent public accou111a111 must be supJJOrted by a statement of facts and circ11111s1a11ces relied* 011 *as the basis for the exemption. See section 240. 17a-*5(e)(2).SEC 14 10 (3-91) 0MB APPROVAL 0MB N umber: 3235-0123 Expires: August 3 1, 2020 Estimated average burden hours per response . .. 12.00 | SEC FILE NUMBER | | |-----------------|--| | 8-43369 | | {1}------------------------------------------------ Financial Statements and Supplementary Schedules Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31 , 2018 {2}------------------------------------------------ #### **TABLE OF CONTENTS** #### **This report** \*\* **contains (che…Read the full text as markdown