Full text of PURSHE KAPLAN STERLING INVESTMENTS, INC.'s X-17A-5 filed 2022-03-11 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | | | | |---------------------------|--|--|--| | OMB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | | | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-46844 | | {1}------------------------------------------------ ## **PURSHE KAPLAN STERLING INVESTMENTS, INC.** ## **FINANCIAL STATEMENT AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** **DECEMBER 31, 2021** #### \*\*PUBLIC DOCUMENT\*\* This report is filed in accordance with Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document {2}------------------------------------------------ ## **PURSHE KAPLAN STERLING INVESTMENTS, INC.** # **TABLE OF CONTENTS** | | PAGE | |----------------------------------------------------------------------|-----------| | LETTER OF OATH OR AFFIRMATION | 1 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 2 | | | FINANCIAL STATEMENT | | | Statement of Financial Condition<br>Notes to the Financial Statement | 3<br>4-15 | {3}------------------------------------------------ | Signature: | | |---------------|--| | Title:<br>CEO | | - - - - - - - - - - - - - - - - - - - - - - - - - - - {4}------------------------------------------------  #### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Management of Purshe Kaplan Sterling Investments Inc. #### *Opinion on the Financial Statement* We have audited the accompanying statement of financial condition of Purshe Kaplan Sterling Investments Inc. (the "Company") as of December 31, 2021, and the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of December 31, 2021, in conformity with accounting principles generally accepted in the United States of America. #### *Basis for Opinion* This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Comm…Read the full text as markdown