Full text of GLADSTONE SECURITIES, LLC's X-17A-5 filed 2022-09-27 (period 2022-06-30). 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** ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-66052 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | ---------<br>--------<br>AND ENDING 05<br>3<br>0/22<br>FILING FOR:THE PERIOD BEGINNING 0?/01121<br>/<br>-<br>- | | | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-----------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. R~GISTRANT IDENTIFICATION | | | | ·:i<br>NAME OF FIRM: GLADSTONE SECURITIES LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 1521 WESTBRANCH DRIVE, SUITE 100 | | | | | | (No. and Street) | | | | MCLEAN | VIRGINIA | | 22102 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | MICHAEL T MARRONE | 646-930-1906 | MICHAEL.MARRONE@GLAI | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | PRICEWATERHOUSE COOPERS LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 655 NEW YORK AVE NW | WASHINGTON | DC | 20001 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 238 | | | | | | (PCAOB RegO,c,t;o, N,mbec, If appU~ble) | | | FOR OFFICIAL USE ONLY | | | | | * 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-S(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…Read the full text as markdown