Full text of LUMENT SECURITIES, LLC's X-17A-5 filed 2024-05-24 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition March 31 , 2024 (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 | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires : Nov. 30. 2026 | | Estimated average burden | | hours per response:<br>12 | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8-31175 | FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **04/01/2023** MM/0D/YY AND ENDING **03/31/2024** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Lument Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer □ 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.) # 10 West Broad Street, 8th Floor | (Email Address)<br>B. ACCOUNTANT IDENTIFICATION | 43215<br>(Zip Code)<br>Bob.Kirkwood@Lument.com | |------------------------------------------------------------|---------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | Texas | 75201 | | (State) | (Zip Code) | | | | | | | | | | | | | | | 185<br>(PCAOB R,g;,t,atlo" Numb.,, ;f appt;<ableJ | • 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. {2}------------------------------------------------ #### OATH **OR AFFIRMATION** | I, Robert T Kirkwood | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Lument S…Read the full text as markdown