Full text of SOLOMON PARTNERS SECURITIES, LLC's X-17A-5 filed 2023-02-24 (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 # **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB APPROVAL | | | | |--------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response: 12 | | | | | | | | | SEC FILE NUMER 8- 43369 **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 **O 1/01 /22** AND ENDING **12/31 /22** *MM/DDNY* *MM/DDNY* ### **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Solomon Partners Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant 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.) | | (No. and Street) | | | |----------------------------------------------|----------------------------------------------------------------------------|-------------------------------|------------| | New York | NY | 10105 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Howard Spindel | (212) 897-1688 | hspindel@integrated.so1utions | | | (Name) | (Arca Code - Telephone Number) | (Email Address) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports arc contained in this filing* | | | | | PricewaterhouseCoopers LLP | | | | | (Name - if individual, state last, first, and middle name) | | | | 300 Madison Avenue | New York | NY | 10017-6204 | | (Address) | (City) | (State) | (Zip Code) | | | | | | # 10/20/2003 238 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) #### **FOR OFFICIAL USE O:\'LY** \* 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. Sec 17 CFR 240.17a-5(e)( I )(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.** # 1345 Avenue of the Americas, 31st Floor {1}------------------------------------------------ #### AFFIR;\1A TIO~ I. Howard Spindel . sn…Read the full text as markdown