Full text of GRADIENT SECURITIES, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAUC | | | | | |--------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------|--|--| | iling for the period beginning 01/01/2022 | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: GRADIENT SECURITIES, LLC | | | | | | | [YPE OF REGISTRANT (check all applicable boxes):<br>= Broker-dealer<br>[] Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 4105 LEXINGTON AVE N, STE 380 | | | | | | | | (No. and Street) | | | | | | ARDEN HILLS | MN | | 55126 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | ROBERT NELSON 866-991-1539 | | | rnelson@gradientsecurities.com | | | | Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>MARCUM, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | NINE PARKWAY NORTH | DFFRFIFI D | | 60015 | | | | Address)<br>10/16/2003 | (City) | (State)<br>688 | (Zip Code) | | | | Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable | | | | * Claims for exemption from the requirement that the annual reports of an independent public | FOR OFFICIAL USE ONLY | | | | | | | of facts and circumstancer rolled on active of the avomption. Son 17 | | | | | {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | ROBERT NELSON | | |---------------|--| | | | I, ROBERT NELSON swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of GRADIENT SECURITIES, LLC as of **12…Read the full text as markdown