Full text of GRADIENT SECURITIES, LLC's X-17A-5 filed 2021-04-12 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. , .. , 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** SEC FILE NUMBER **8-** **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 | | | |------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: GRADIENT SECURITIES, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 4105 LEXINGTON AVE N, STE 380 | | | | | | | (No. and Street) | | | | | ARDEN HILLS | MN | | 55126 | | | (City) | (State) | | (Zip Code) | | | EPHONE NUMBEJ3 OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>/Z€/J/1/V{t: | | | 'g(p(o ~<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | MARCUM, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | NINE PARKWAY NORTH | DEERFIELD | IL | 60015 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | | | | | | | Public Accountant<br>D | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unlesstheform displays a currently valid 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | J, _R_O_B_E_R_T_N_E_L_S_O_N | _______________________ , swear (or a…Read the full text as markdown