Full text of GRADIENT SECURITIES, LLC's X-17A-5 filed 2022-03-31 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2021** AND ENDING **12/31/2021** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** ## NAME OF FIRM: GRADIENT SECURITIES, LLC TYPE OF REGISTRANT {check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 4105 LEXINGTON AVE N, STE 380 | MN<br>(State)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>866-991-1539 | | 55126<br>(Zip Code) | |-------------------------------------------------------------------------------|--------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | rnelson@gradientsecurities.com | | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | | | 60015 | | | | (Zip Code) | | | | | | | | | | | | | | | NINE PARKWAY NORTH<br>DEERFIELD<br>(City)<br>FOR OFFICIAL USE ONLY | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name)<br>IL<br>(State)<br>688<br>(PG/108 Reglstcatloo N,mbec, If applicable) I | \* 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-5(e)(l)(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** | | swear (or affirm) that, to the best of my knowledge and belief, the<br>…Read the full text as markdown