Full text of GLADSTONE SECURITIES, LLC's X-17A-5 filed 2023-09-08 (period 2023-06-30). 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 FACING PAGE** OMS APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-66052 **Information Required Pursuant to Rules 17a-S, 17a-12, and 1Ba-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 0?/0<sup>1</sup> / 22 AND ENDING o*5*<sup>J</sup> *30l23* --------- ---------- MM/DD/YY **A. REGISTRANT** IDENTIFICATION NAME OF FIRM: GLADSTONE SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): MM/DD/YY **ill** Broker-dealer □ Security-based swap dealer □ 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.) 1521 WESTBRANCH DRIVE, SUITE 100 MCLEAN (City) (No. and Street) VIRGINIA (State) PERSON TO CONTACTWITH REGARD TO THIS FILING 22102 (Zip Code) MICHAEL T MARRONE 646-930-1906 MICHAEL.MARRONE@GLAI (Name) {Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* PRICEWATERHOUSE COOPERS LLP 655 NEW YORK AVE NW (Address) 10/20/2003 (Name- if individual, state last, first, and middle nc1me) WASHINGTON (City) 238 DC (State) 20001 (Zip Code) l" of **Reg;matio"** with PCAOBJ!• appHcable) **FOR OFFICIAL USE ONLY** [PCAOB ,\_.,,oo N,mbe,. • 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-S(e){l) (ii), if applicable. **Persons who are to** respond **to the** collection **c,f information contained** in **this form are** not **required** to **respond unless the** form **displays a amently** valid **OM B** control **number.** {1}------------------------------------------------ ## OATH **OR AFFIRMATION** | I, JACK DELLAFIORA | | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------|-----------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | | financial report pertaining to the fir…Read the full text as markdown