Full text of S.L. REED & COMPANY's X-17A-5 filed 2024-02-15 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-49178 | | **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 01/01/2023 | | AND ENDING 12/31/2023 | |--------------------------------------------|----------|-----------------------| | | MM/DD/VY | MM/0D/YY | MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: S.L. Reed & Company TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 11111 Santa Monica Blvd., Suite 1200 | | (No. and Street) | | | | | | |--------------------------------------------------|---------------------------------------------------------------------------|-----------------|--------------------------------------------|--|--|--| | Los Angeles | California | | 90025 | | | | | (City) | (State) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Stephan R. Pene | 310-893-3006 | | spene@slreed.com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | LMHS, P.C. -Certified Public Accountants and Advisors | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 80 Washington Street, Bldg S Norwell | | MA | 02061 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 2/24/2009 | | 3373 | | | | | | (Date of Registration with PCAOBl(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | 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-5(e)(l){il), if applicable. **Persons who are to respond to the collection of information contained** in **this form are not required to respond unl…Read the full text as markdown