Full text of COLDSTREAM SECURITIES, INC.'s X-17A-5 filed 2024-02-22 (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 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FI LE NUMBER **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 ~M/£?D/\'Y AND ENDING 12/31/2023 **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Coldstream Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): MM/DD/VY 1:6 Broker-dealer D Security-based swap dealer D 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.) One 100th Ave NE Ste 102 (No. and Street) Bellevue, WA 98004 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING (Zip Code) Erika Yelle (Name) 425-283-1604 (Area Code - Telephone Number) erika. yelle@coldstream.com (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Moss Adams LLP (Name - if individual, *state* last, first, and middle name) 900 Third Avenue Ste 2800 (Address) 10/16/2003 Seattle (City) 659 **WA** (State I 98104-4019 (Zip Code) (Date of ReRistration with PCAOB)(lf applicable) (PCAOB Registration Number, ifapplicable) **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-S{e)(I)(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.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Erika Yelle | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Coldstream Securities, Inc. | as of | | 2~<br>February 22 | is true and correct. I further swear (or affirm) that neither the company no…Read the full text as markdown