Full text of PANMURE GORDON SECURITIES LIMITED's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** PUBLIC ### **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | | 0MB APPROVAL | | |-------------|--------------|---------------------------| | 0MB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | | SEC FILE NUMBER | |-----------------| | 8-69631 | **FACfNG PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGTNNING_ | ____<br>o_ 1_1_O_11_2_O_2_o | | ___<br>AND ENDTNG_ 1_2 _/3_1_/2O_<br>_ 2_ O<br>_ | | |-------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Panmure Gordon Securities Limited | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | One New Change | | | | | | | (No. and Street) | | | | | London | U.K. | | EC4M9AF | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>J. Clarke Gray | | | 917-238-1263 | | | | | | (Arca Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Raich Ende Malter & Co. LLP | | | | | | | (Name - if individual. slate last. first. middle name) | | | | | 1375 Broadway | New York | N.Y. | 10018 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | cert ifi ed Public Accountant | | | | | | Publi c Accountant | | | | | | 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 supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.**…Read the full text as markdown