Full text of GLADSTONE SECURITIES, LLC's X-17A-5 filed 2021-09-21 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington,D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE** | 0MB APPROVAL | | | | |----------------------------|--|------------------|--| | 0MB Number: | | 3235-0123 | | | Expires: | | October 31, 2023 | | | l~stirnated average burden | | | | | Lhours per response 12.00 | | | | SEC FILE NUMBER ~ 6052 - # **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 **0? /01 /20 \_ \_\_\_\_\_ AND ENDING\_0\_6\_/3\_0\_/\_2\_1 \_ \_\_\_\_ \_** MMIDDIYY **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: GLADSTONE SECURITIES LLC ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 1521 WESTBRANCH DRIVE, SUITE 100 (No. and Street) MCLEAN VIRGINIA (City) (State) MM/DD/YY OFFICIAL USE ONLY - 22102 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT MICHAEL T MARRONE **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report\* PRICEWATERHOUSE COOPERS LLP (Name - if *individual, state last. first, middle name)* 655 NEW YORK AVE WASHINGTON ----------•~W---- (City) (Address) **CHECK ONE:** [l]certified Public Accountant Public Accountant D Accountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY** 646-930-1906 DC 20001 (State) (Zip Code) *\*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 unless the form displays a currently valid 0MB control number.** SEC 1410 (11-05) FIRM 1.D. NO. (Area Code - Telephone Number) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, \_J\_A\_C\_K\_D\_E\_L\_LA\_ F\_I\_O\_RA \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ , swear ( or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of \_G\_L\_A\_D\_S\_T\_O\_N\_E\_S\_E\_C\_U\_R\_IT\_IE\_S\_L\_L\_c \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ ' as of JUNE 30 20 21 , ar…Read the full text as markdown