Full text of LUMENT SECURITIES, LLC's X-17A-5 filed 2023-05-24 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition March 31, 2023 (With Report of Independent Registered Public Accounting Firm) Annual Audited Report Pursuant to Rule 17A-5(e)(3) {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-31175 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 03/31/2023 filing for the period beginning 04/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Lument Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): E Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 10 West Broad Street, 8th Floor | (No. and Street) | | | | | | |----------------------------------------------|------------|--|--|--|--| | Ohio | 43215 | | | | | | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | | Robert I. Kirkwood 614-384-2372 | bob.kirkwood@lument.com | |--|----------------------------------|-------------------------| | | | | (Name) (Area Code - Telephone Number) (Email Address) # B. Accountant Identification INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # KPMG II P (Name - if individual, state last, first, and middle name) | 2323 Ross Avenue, Suite 1400 Dallas | | | lexas /5201 | |--------------------------------------------------|-----------------------|--------------------------------------------|-------------| | (Address) | (City) | (State) | (Zip Code) | | October 20, 2003 | | 185 | | | (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 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-5(e)(1)(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 OMB control number. {2}----------------------------…Read the full text as markdown