Full text of COLDSTREAM SECURITIES, INC.'s X-17A-5/A filed 2022-02-25 (period 2021-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM** X-17A-S **PART III** | SEC FILE NUMBER | | |-----------------|--| | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------------------------------------------------------|-----------------------------------------------|---------------------------------------|--|--| | FILING FOR THE PERIOD BEGINNING _---=0;;;1:!/-=0;;;1:!/;;;2-=0;;;2;.;;:1~_ AND ENDING __ 1_2 | | MM/DD/VV | | -,-/_3_1:/_2_0_2_1 _<br>_<br>MM/DD/VV | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | __ C_o_l_<br>NAME OF FIRM : | d_s_t_r_e_a_m __ S_e_c_u_r_i | _t_i_e_s_, _ | I_n_c_. _ | ____________<br>_ | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>o Major security-based swap participant<br>0 Security-based swap dealer<br>~ Broker-dealer<br>o Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | One 100th Ave NE | Suite 102 | | | | | | | | | (No. and Street) | | | | | | Bellevue | | WA | | 98004 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Erika Yelle | | 425-283-1604 | | | | | | (Name)<br>(Area Code - Telephone Number) | | | erika.yelle@coldstream.com<br>(Email Address) | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Moss Adams LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 999 Third Avenue | Suite 2800 | Seattle | WA | 98104-4019 | | | | (Address) | | (City) | (State) | (Zip Code) | | | | 10/16/2003 | | | 659 | | | | | l'''<br>of <"1,,,,1100 w;,h Po.O')(;1 ,ppl",blo! | | 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 circu…Read the full text as markdown