Full text of CROSSTREE CAPITAL SECURITIES, LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Public U~ITED STA TES SECURITIESANDEXCHA.i'lGECOM..I\IUSSION ,vashinj!ton~ D.C. 20549 0MB APPROVAL OMBNumber: 3235·0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-68662 # **ANNUAL A.UDITED REPORT FORM X-17A-5 PARTIII** | 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 01/01/2020 | ----------- | AND ENDING 12/31/2020 | | | |---------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------|--------------------------------|--| | | ~ I .M /DD/ Y Y | | MM,DD YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Crosstree Capital Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSIJ\:ESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 2701 North Rocky Point Drive, Suite 925 | | | | | | | (No. and Stred) | | | | | Tampa | FL | | 33607 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Katherine Anderson | | | 404"303-884-0 x1002 | | | | | | (Ar<!a Cod" - Tekphone Number) | | | | B. ACCOUNTANT IDENTIFlCATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | | Spicer Jeffries LLP | | | | | | | if indiridua{. stale fast. first. middle 1w111e)<br>(Name | | | | | 4601 OTC Blvd., Suite 700 | Denver | co | 80237 | | | (Addre~s) | {City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>certified Public Accountant | | | | | | Public Accountant | | | | | | B | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption Jrom the requirement that the annual reporl be covered by the opinion of an independent public accmmtanr must be supported* hy *a statement o.f facts and circ11111slances relied on as the basis.for the exemption. See Section 240. l la-5(e)(2)* > 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 AFFI…Read the full text as markdown