Full text of PURSHE KAPLAN STERLING INVESTMENTS, INC.'s X-17A-5 filed 2024-03-04 (period 2023-12-31). 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 FORM X-17A-5 PART** Ill **FACING PAGE 0MB APPROVAL** 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE **NUMBER** 8-46844 **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** MM/DD/VY AND ENDING **12/31/2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Purshe Kaplan Sterling Investments Inc. TYPE OF REGISTRANT {check all applicable boxes): [!l Broker-dealer O 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.) 80 State Street (No. and Street) Albany NY 12207 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING John Peter Purcell 518-436-3536 ppu rcell@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 Fl Chicago IL 60606 (Address) (City) (State) (Zip Code) 12/17/2009 3968 **rte of Regl>t<atioo with PCAOB )Hf applicable) FOR OFFICIAL USE ONL V IPCAOB R"Otcatioo N"mbe,,** If **applicable)]** \* 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 offacts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(1)(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, 2023** \* \*PUBLIC DOCUMENT\*\* This report is filed in accordance with Rule l 7a-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