Full text of STONEBRIDGE SECURITIES, LLC.'s X-17A-5 filed 2024-02-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | PUBLIC | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>12 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|--------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17A-5 | | 8-51851 | | | | | | | PART Ill | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | AND ENDING 12/31/2023<br>FILING FOR THE PERIOD BEGINNING 01/01/2023 | | | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF FIRM: STONEBRIDGE SECURITIES LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>□ Major security-based swap participant<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | 330 112TH AVE, SUITE 300 | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | (No. and Street) | | | | | | | | BELLEVUE | WA | | 98004 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | MICHAEL HENDRICKSON 206-770-9700<br>mikeh@stonebridgesecurities.com | | | | | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>OHAB AND COMPANY, PA | | | | | | | | | 100 E SYBELIA AVENUE SUITE 130 | (Name - if individual, state last, first, and middle name)<br>MAITLAND | FL | 32751 | | | | | | (Address)<br>JULY 28, 2004 | (City) | (State)<br>1839 | (Zip Code) | | | | | | rte of Reglstcatioo with PCAOB)Of applicable] | FOR OFFICIAL USE ONLY<br>* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent pub…Read the full text as markdown