Full text of PETRIE PARTNERS SECURITIES, LLC's X-17A-5/A filed 2023-03-29 (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 APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response: 12 | | |------------------------|--| | SEC FILE NUMBER | | | 8-66503 | | **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 **0 1/01 /22** MM/DD/YY AND ENDING **12/31** f22 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Petrie Partners Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): ii 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** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fi ling\* 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 | | 166 | | | rte of Registrntioo with PCAOB)lif applicable) | | | (PCAOB Registrntioo N,mbec, if applicable) | | | 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 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