Full text of PURSHE KAPLAN STERLING INVESTMENTS, INC.'s X-17A-5 filed 2023-03-01 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-46844 **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 **01/01/2022** MM/DD/VY AND ENDING 1213112022 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Purshe Kaplan Sterling Investments Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer O Security-based swap dealer □ 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.) 80 State Street (No. and Street) Albany NY (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 12207 (Zip Code) John Peter Purcell 518-436-3536 ppurcell@pksinvest.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* FGMK, LLC (Name - if individual, state last, first, and middle name) 333 W Wacker Drive 6th Flo Chicago IL 60606 (Address) (City) (State) (Zip Code) 12/17/2009 3968 **rte** of **,-ratioo w;th PCAOB)lff appllcable) FOR OFFICIAL USE ONLY (PCAOB ReglWatioo N,mbec,** ;f **appUcable)I** \* 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. {1}------------------------------------------------ #### **PURSHE KAPLAN STERLING INVESTMENTS, INC.** #### **FINANCIAL STATEMENT AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** #### **DECEMBER 31, 2022** \* \*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** | | --<br>PAGE | |-------------------------------------------------------…Read the full text as markdown