Full text of PURSHE KAPLAN STERLING INVESTMENTS, INC.'s X-17A-5 filed 2021-04-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | (Name - if individual, state last, first, middle name) | | | |-----------------------------|---------------------------------------------------------------------|---------|------------| | 750 Third Avenue | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | {1}------------------------------------------------ | . Somil Potor I aroc | the best of the many swear (or affirm) that, to the best of | |------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------| | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>Purshe Kaplan Sterling Investments Inc. | | | of December 31 | a connect of a connect of a mare true and correct. I further swear (or affirm) that | | | neither the company nor any partner, principal officer or director has any proprietary interest in any account | | classified solely as that of a customer, except as follows: | | | | | | KATHERINE M. FLOUTON | | | Notary Public, State of New York<br>No. 01FL5068617 | Signature | | Qualified in Schenectady County | CEO | | Commission Expires Noy 8/2017 | Title | | | | | Notary Public | | | This report ** contains (check all applicable boxes): | | | (a) Facing Page. | | | > {b) Statement of Financial Condition. | (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.<br>(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.<br>(h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. | | | (i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3. | | | Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. | (j) A Reconciliation,…Read the full text as markdown