Full text of PETRIE PARTNERS SECURITIES, LLC's X-17A-5 filed 2024-03-29 (period 2023-12-31). 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** > **ANNUAL REPORTS FORM X-17A-5** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov .. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-66503 # **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 **01/01/23** AND ENDING **12/31 /23** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Petrie Partners Securities, LLC TYPE OF REGISTRANT (check all appli cable boxes): ~ 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 | | mike@petrie.com | | | | | | | (Name) | | (Area Code -Telephone Number)<br>(Ema il Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fi<br>ling*<br>Plante & Moran PLLC | | | | | | | | | | | (Name - if ind ividual, state last, first, and midd le name) | | | | | | | 8181 East Tufts Ave. Suite 600 | Denver | co | 80237 | | | | | | (Add ress) | | (C ity) | (State) | (Zip Code) | | | | | October 20, 2003 | 166 | | | | | | | | T"<br>of Registcatioo with PCAOB)lif applicable) | | | | {PCAOB Registcatioo N"mbec, if applicable JI | | | | | 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}-------------------------…Read the full text as markdown