Full text of PEAK BROKERAGE SERVICES, LLC's X-17A-5 filed 2022-03-22 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### **Peak Brokerage Services, LLC** **Financial Statements and Supplementary Information For the Year Ended December 31, 2021** {1}------------------------------------------------ ### **Peak Brokerage Services, LLC Financial Statements For the Year Ended December 31, 2021** ### **TABLE OF CONTENTS** | FACING PAGE | 1 | |----------------------------------------------------------------------------------------------------------|-----| | OATH OR AFFIRMATION | 2 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 3-4 | | FINANCIAL STATEMENTS: | | | STATEMENT OF FINANCIAL CONDITION | 5 | | STATEMENT OF OPERATIONS | 6 | | STATEMENT OF MEMBERS' EQUITY | 7 | | STATEMENT OF CASH FLOWS | 8 | | NOTES TO FINANCIAL STATEMENTS | 9 | | SUPPLEMENTARY INFORMATION: | 15 | | SCHEDULE I -<br>SUPPLEMENTAL STATEMENT OF NET CAPITAL | 16 | | SCHEDULE I-<br>SUPPLEMENTAL STATEMENT OF AGGREGATE<br>INDEBTEDNESS AND REQUIRED NET CAPITAL | 17 | | SUPPLEMENTAL NOTE -<br>SUPPLEMENTAL INFORMATION PURSUANT TO<br>RULE 17a-5 OF THE SECURITIES ACT OF 1934 | 18 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM<br>ON THE COMPANY'S RULE 15c3-3 EXEMPTION REPORT | 19 | | RULE 15C3-3 EXEMPTION REPORT | 20 | {2}------------------------------------------------ **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** SEC FILE NUMBER | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------|-----------------|-----------------------------------------------| | | 01/01/2021 | AND ENDING 12/31/2021 | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Peak Brokerage Services, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes}:<br>□ Security-based swap dealer<br>� Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | D Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.}…Read the full text as markdown