Full text of MIDDLEMARCH SECURITIES LLC'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}------------------------------------------------ ## **OATH OR AFFIRMATION** | I, _A_l_ex_a_n_d_e_rG_ ru_t_m_a_n ___<br>_<br>____ | _______ | _____<br>_<br>_ | , swear (or affinn) that, to the best of | |-----------------------------------------------------------------------------------------------------------------------------------------------|---------------|--------------------|------------------------------------------------------------------------------------------------| | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>Middlemarch Securities LLC | | | | | -----<br>--------------<br>of December 31 | -----<br>2020 | ------<br>---<br>- | , as<br>-----<br>-<br>-<br>-<br>---<br>are true and correct. I further swear ( or affirm) that | | neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account | | | | | classified solely as that of a customer, except as follows: | | | | | | | | | | | | | |  Title This report •• contains (check all applicable boxes): 0 (a) Facing Page. - 0 (b) Statement of Financial Condition. - D (c) Statement of Income (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement of Comprehensive Income (as defined in §210.1-02 of Regulation **S-X).** - - § (d) Statement of Changes in Financial Condition . (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. - (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. - - § (g) Computation of Net Capital. (h) Computation for Determination of Reserve Requirements Pursuant to Rule I 5c3-3 . - (i) Information Relating to the Possession or Control Requirements Under Rule I 5c3-3 . - D U) A Reconciliation , including appropriate explanation of the Computation of Net Capital Under Rule I 5c3- I and the Computation for Determination of the Reserve Requirements Under Exhibit A of Rule I 5c3-3 . - **0 (k)** A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of consolidation . - - § (1) An Oath or Affinnation . (m) A copy of the SlPC Supplemental Report. - (n) A repor<sup>t</sup>describing any material inadequacies found to exist or found to have existed since the date of the previous audit. *••For conditions of confidential treatment of certain portions of this filing, see section 240. l 7a-5(e)(…Read the full text as markdown