Full text of PETRIE PARTNERS SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** # 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2020 Estimated average burden hours per response ... 12.00 | | SEC FILE NUMBER | |--|-----------------| | | | **8 - 66503** **FACING PAGE** **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 | --~~-~-----<br>01/01/2020<br>MM/DD /Y Y | AND ENDING | -~~~~~-------<br>12/31/2020<br>MM/DD/YY | | |---------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|------------|---------------------------------------------|--| | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER:<br>Petrie Partners Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | | | | | | | 1144 Fifteenth Street Suite 3900 | | | | | | | (No. and Street) | | | | | Denver | Colorado | | 80202 | | | (City) | (State) | | (Zip Code) | | | Kimberly Collins | | | 303-797-0550<br>(Area Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Repo1t* | | | | | | Plante & Moran. PLLC | | | | | | | (Name - if individual, state /ast,first, middle name) | | | | | 8181 E. Tufts Ave. Suite 600 | Denver | Colorado | 80237 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>■ Certified Public Accountant<br>□ Public Accountant<br>□ Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*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. !7a-5(e)(2).* SEC 1410 (06-02) **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.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | Michael E. Bock<br>I, | , swear (or affirm) that, to…Read the full text as markdown