Full text of PANMURE GORDON SECURITIES LIMITED's X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** PUBLIC # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | | | | |---------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-69631 | | **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 **01/01/2022 MM/00/YY** AND ENDING 1213112022 MM/00/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Panmure Gordon Securities Ltd. lYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | B. ACCOUNTANT IDENTIFICATION | | |----------------------------------------------|--------------------------------|--------------------------| | (Name) | (Area Code - Telephone Number) | (Email Address) | | J. Clarke Gray | 917-238-1263 | clarke@taylorgrayllc.com | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | (City) | (State) | (Zip Code) | | London | U.K. | EC49AF | | | (No. and Street) | | | One New Change | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Raphael, Goldberg, Nikpour, Cohen, Sullivan CPAs PLLC | 97 Froehlich Farm Road | Woodbury | N.Y. | 01797 | |----------------------------------------------------------------------|----------|---------|--------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 02\23\10 | | 5028 | | | (rte of Registration with PCAOB)(lf applicable) FOR OFFICAL USE ONLY | | | (PCAOB Registration Number, If applicable) | | | | | | \* 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-S(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 form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### OATH **OR AFFIRMATION** I, John…Read the full text as markdown