Full text of BROADSTONE SECURITIES's X-17A-5 filed 2021-03-31 (period 2020-12-31). 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 AUDITED REPORT FORM X-17A-5 PARTIII** **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 BEGINNINGQ1/Q1/2Q2Q AND ENDING **12/31/2020** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF BROKER-DEALER: Broadstone Securities ADDRESS OF PRINCIPAi. PLACE OF BUSINESS: (Do not usc P.O. Box No.) 80 State Street (No. and Street) Albany NY (City) (State) MM/DD/YY OFFICIAL USE ONLY FIRM I.D. NO. 12207 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO TIIIS REPORT John Peter Purcell 518-436-3536 **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• Marcum LLP (Name - *ifindit"id11al. state last.first. middle name)* 750 Third Avenue New York (Address) (City) **CHECK ONE:** ✓ I certified Public Accountant B Public Accountant Accountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY** (Area Code -Telephone Number) NY 10017 (State) (Zip Code) *\*Claims for exemption.from the requirement that the annual report be cm1ered by the opinion of an independent public accountant must he supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(2)* > **Potential persona who are to re1pond to the collectlon of Information contained** In **this form are not required to respond** unless the form display• a currently valld 0MB control number. SEC 1410 (11-05) SEC FILE NUMBER B-52094 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oer resoonse ...... 12.00 {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | _________________<br>1, _L_isa_M_La_F_o_n_d | ___<br>_ , swear (or affirm) that. to the best of<br>_<br>_ | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown