Full text of PEAKSTONE SECURITIES, LLC's X-17A-5 filed 2019-02-19 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ liNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PART Ill | | OMB APPROVAL | | | | | |---------------------------|----------------|--|--|--| | OMB Number: | 3235-Dl23 | | | | | Expires: | August31, 2020 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | |-----------------| | •-68835 | 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 01/01/18<br>AND ENDING 12/31/18 | | | |--------------------------------------------------------------------|-------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | MM/DDIYY | | --~~cc---<br>M!Vl!DD/YY | | | | | | | | NAME OF BROKER-DEALER' PEAKSTONE SECURITIES, LLC | | OFFICIAL USE ONLY | | | ADDRE.SS OF PRINCIPAL PLACE bF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | | | | | | (No and Street) | | | | | IL | 60654 | | | | (State) | (Z1p Code) | | | | | | | | | | | (312) 204-7300<br>(Ar~a Code- Telephnne Number) | | | | | | | | | | | | | | | 30339 | | | (City) | (Slate) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | certified Public Accountant | ------·<br>Chicago :::____ _________ _<br>900 CIRCLE 75 PARKWAY, SUITE 1100 ATLANTA | A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B, ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>__<br>(Name - (f mdi\•/Juul, stme last. }irst,_ middl~ J/Ume)<br>__________ Gj\<br>OAccountant not resident in United' States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | *\*Claims fOr exemptionji·om the requireme/11 that the annual report be covered by the opinion of an independenl public accounlant must be supported by a statement (dfacts and circumstances relied on as the basis for the exempt…Read the full text as markdown