Full text of DORSET PEAK 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 ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-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- 70684 **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/DD/YY ## **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Dorset Peak 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.) # 416 West 13th Street | | (No. and Street) | | | |----------------------------------------------|--------------------------------|----------------------------------|--| | New York | NY | 10014 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Shari Rothenberg | (908) 743-1307 | srothenberg@integrated.so1utions | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing\* # Warren Averett, LLC | (Name- if individual, state last, first, and middle name) | | | | | | |-----------------------------------------------------------|------------|---------|-------------------------------------------|--|--| | 2500 Acton Road | Birmingham | AL | 35243 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 05/17/2005 | | 2226 | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, ifapplicable) | | | #### **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports ofan 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. I 7a-5(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}-------------------------------------------…Read the full text as markdown