Full text of COLDSTREAM SECURITIES, INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # COLDSTREAM SECURITIES, INC. Report of Independent Registered Public Accounting Firm and Financial Statements with Supplementary Information Year Ended December 31, 2020 This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition has been filed with the Securities and Exchange Commission herewith as a PUBLIC DOCUMENT. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL AUDITED REPORT FORM X-17A-5** PART III | OMS APPROVAL | | | | |---------------------------|--------------|--|--| | OMS Number: | 3235-0123 | | | | Expires: | May 31, 2017 | | | | Estimated average burden | | | | | hours per response 12.00 | | | | ## SEC FILE NUMBER 8-47039 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2020<br>AND ENDING 12/31/2020 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|------------------------------------|--| | | MMIDDIYY | | ----------------------<br>MM/DDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | One 100th Ave NE Suite 102 | | | | | | | (No. and Street) | | | | | Bellevue | WA | | 98004 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Erika Yelle, Chief Compliance Officer, 425-283-1604 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Moss Adams LLP | (Name - if individual. state last, first. middle name) | | | | | 999 Third Avenue Suite 2800 | Seattle | WA | 98104-4019 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I vi<br>ICertified Public Accountant<br>B<br>PUbliC Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claimsfor exemptionfrom the requirement that the…Read the full text as markdown