Full text of PETRIE PARTNERS SECURITIES, LLC's X-17A-5 filed 2023-03-15 (period 2022-12-31). 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** 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: I 2 0MB APPROVAL SEC FILE NUMBER 8-66503 ## **ANNUAL REPORTS FORM X-17 A-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 **01/01/22** AND ENDING **12/31 /22** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Petrie Partners Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1144 15th Street, Suite 3900 | | (No. and Street) | | | | | |------------------------------------------------------------------|------------------------------------------------------------|-----------------|-----------------|--|--| | Denver | co | | 80202 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Mike Bock | 303-953-5398 | | mike@petrie.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Plante & Moran PLLC | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | | 2601 Cambridge Ct. Suite 300 | Auburn Hills | Ml | 48326 | | | | (Address) | (City) | (State) | (Zip Code) | | | | October 20, 2003<br>rte of Reg;stcaUoo w;th PCAOB)l;f appUcable) | | 166 | | | | | | | | | | | \* 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 number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Michael E. Bock | | swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------------|---------------------------------------------------------------------------------------------------------------------|---…Read the full text as markdown