Full text of GRADIENT SECURITIES, LLC's X-17A-5 filed 2024-03-15 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | | |-----------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|--------------------------------|-------------------------------------------------|--|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123<br>Expires: Nov. 30, 2026 | | | | | | Washington, D.C. 20549 | | Estimated average burden | | | | | | | | hours per response:<br>12 | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | | | | | | PART Ill | | | | | | | | | | | | | | | | | 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 O 1/01/2023 | | | AND ENDING 12/31/2023 | | | | | | MM/DD/VY | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | NAME OF FIRM: GRADIENT SECURITIES LLC | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | C!J Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap 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 | | | | | | | | | (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 | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | MARCUM, LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | NINE PARKWAY NORTH | DEERFIELD | IL | 60015 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 10/16/2003 | 688 | | | | | | | l'' | | | (PO\OB Regl~rntloo Nombec, If, ppllcable) I | | | | | of Reglstrntloo with PO\OB)(lf apPllcable) | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an indep…Read the full text as markdown