Full text of PANMURE GORDON SECURITIES LIMITED's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | |----------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------|--------------------------------------------|--| | | | | 0MB Number: 3235-0123 | | | PUBLIC | SECURITIES ANO EXCHANGE COMMISSION | | Expires: Oct. 31, 2023 | | | | Washington, D.C. 20549 | | Estimated average burden | | | | | | hours per response:<br>12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-S | | 8-69631 | | | | PART Ill | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | ________<br>________<br>01/01/21<br>12/31/21<br>_<br>FILING FOR THE PERIOD BEGINNING<br>AND ENDING | | | | | | MM/DD/VY<br>MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM: | ___________________________<br>Panmure Gordon Securities Ltd. | | _ | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | 0 Major security-based swap participant<br>~ Broker-dealer<br>□ Security-based swap dealer | | | | | | | 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.) | | | | | One New Change | | | | | | | (No. and Street) | | | | | London | U.K. | | EC49AF | | | (City) | {State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | J. Clarke Gray | 917-238-1263 | | Clarke@taylorgrayllc.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Raich Ende Malter & Co. LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1375 Broadway | New York | NY | 10018 | | | (Address) | (City) | (State) | (Zip Code) | | | 6/23/04 | | 50 | | | | (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 be covered by the reports of an independent public | | | | accountant must be supported by *a* statement of facts and circumstances relied on as t…Read the full text as markdown