Full text of BROWNSTONE INVESTMENT GROUP, LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ REPORT ON STATEMENT OF FINANCIAL CONDITION FOR THE YEAR ENDED DECEMBER 31 , 2023 {1}------------------------------------------------ # INDEX | Facing page to Form X-17A-5 | 1 | |---------------------------------------------------------|-----| | Affirmation of principal officer | 2 | | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Notes to Statement of Financial Condition | 5-8 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** O.C. **20549 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Evplres: Nov. 30, 2026 Estimated **average** burden hours per response: I 2 S(C nLC NUMBER 8-50460 **Information Required** Pursuant to Rules **17a-5,** 17a-12, and **18a-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/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Brownstone Investment Group LLC TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer D Security-based swap dealer 0 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.) 505 Fifth Avenue, 10th Floor (No. and Street) New York NY 10017 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Douglas Lewey 212-905-0555 Dlowey@Browntone.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• Farkouh, Furman & Faccio, LLP (Name - if individual, state last, first, and middle name) 460 Park Avenue New York NY 10022 (Address) (City) (State) (Zip Code) 07/09/2009 3630 FOR OFFICIAL **USE ONLY (PCAOB** Reg;w,uoa """'""· ;1 applkable)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. {3}------------------------------------------------ #### **OATH** OR **AFFIRMATION** | I, Dou…Read the full text as markdown