Full text of TRIPLETREE, LLC's X-17A-5 filed 2024-02-21 (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 | | |-----------------|--| | 8-50015 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------------|---------------------------------------------| | FILING FOR THE PERIOD BEGINNING | __<br>__<br>0_1_/_0_1_/2_3 | AND ENDING | __<br>__<br>1_2_/_3_1_/2_3 | | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM:_T_r_ip_le_T_re_e_,_L_L_C | ______________ | | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here 1f respondent 1s also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | D Security-based swap dealer | | □ Major security-based swap participant | | 8200 Normandale Lake Blvd, 7th Floor | | | | | Minneapolis | (No. and Street)<br>MN | | 55437 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Gabrielle Halprin | (504) 533-7377 | | gabnelle. halprm@cap1talone com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained m this filing*<br>Keiter | | | | | | (Name - 1f md1v1dual, state last, first, and rmddle name) | | | | 4401 Dominion Blvd | Glen Allen | VA | 23060 | | (Address)<br>10/22/2003 | (City) | (State)<br>80 | (Zip Code) | | rte of Reg;,t,at,oo with PCAOBJ(,f apphcable) | FOR OFFICIAL USE ONL V | | (PCAOB Reg,stoat,oo Numbe,, ,, apphcable) 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)(1){11), 1f 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…Read the full text as markdown