Full text of GLADSTONE SECURITIES, LLC's X-17A-5 filed 2024-09-04 (period 2024-06-30). 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** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07 /01 /23** MM/DD/YY ANO ENDING **06/30/24** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: GLADSTONE SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer O Security-based swap dealer □ Major security-based swap participant .=i Check here if respondent is also an OTC derivatives dealer **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 | | MICHAELMARRONE@GLAUSTONESE'CUFUTIES.COM | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | PRICEWATERHOUSE COOPERS LLP | (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<br>'j' | | 238 | | | of a,g;st,,t;,a wtth PCAOB){• apph~ 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 offacts and ci rcumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if opplicable. Persons who are to respond to the collection of information contained in this form ;,re not required to respond unless the form displays a currently valid **0MB** control number. | 0MB APPROVAL | | | |--------------------------|--|--| | 0MB Number: 3235-0123 | | | | Expires: Nov. 30, 2026 | | | | Estimated average burden | | | | hours per response: 12 | | | SEC F!LE NUMBER 8-66052 {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 firm of GLADSTONE SECURITIES, LLC , as of 6/30 2~ is'true and correct. I fur…Read the full text as markdown