Full text of PURSHE KAPLAN STERLING INVESTMENTS, INC.'s X-17A-5 filed 2026-03-17 (period 2025-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-46844 # **ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2025** MM/DD/VY AND ENDING **12/31/2025** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Purshe Kaplan Sterling Investments, Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ 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 | 12207 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | 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 | | | | | | 333 W Wacker Drive 6th Fl | (Name - if individual, state last, first, and middle name)<br>Chicago | IL | 60606 | |----------------------------------------------|-----------------------------------------------------------------------|---------|------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 12/17/2009 | | 3968 | | | l"<br>of Reg;m,doo w;ch PCAOBJ(if applkableJ | | | (PCAOB Regjst,adoo N,mbe<, if applkableJ | | | FOR OFFICIAL USE ONLY | | | | | | | | \* 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}------------------------------------------------ #### **PURSH…Read the full text as markdown