Full text of PEAKSTONE SECURITIES, LLC's X-17A-5 filed 2020-02-11 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SEC.URITIESA.lliffi EXCHANGE"COMMISSION W~shington, D."C. 20549 # **ANNUAL AUDITED R E.POR.T ·FOR.M X·1'?A-&** ~ART **Ill** OMS-APPROVAL OMB·N·umber; 3~35·0123 Expires: Au9.~sn1; 20~ *b* Estrmated a·verage burden ho.urs'p\_et response ....•.. 12 .. 00 | · SECFILE. NUMBER | |-------------------| | 8-68835- | RACING PAGE l~{orin~tion Required of B!!oke.i's and Dealer~ ·Pursu;l,n.t" to Sectio.n 17 .o.f th\_e Securities Exc ang~ Act· of 1934 and: Rpl~ 17a-5 Tliereu 4~r | REPORT. FOR THE PERIODBE<::HNN)No0 | 1/01/t9 | . .ENPING.;___ .12{3<br>AWb. | ___ _<br>______<br>:1/19<br>MMIDDIYY | | | |-------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------------|----------------------------------------------------|--|--| | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME.OFBROKER-DEALER: PEAKSTONE SECURITIES, ~LC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF"BUSINESS~ (Do not use P O~ Hox No<br>) | | | FIRM 1.0 . NO. | | | | 445·N Wells S.t., :Suite 404 | | | | | | | | (No. and Street) | | | | | | Chicago | JL | | 60654 | | | | {City)· | '(State;} | | ·.(zip Code) | | | | NAME AND TELEPHONE·NVtv1B"ER OF PERSOi-{TO CONTACT.IN REGARD TO TIHIS REPORT<br>S:T.EPHEN SLEiGH<br>. | . | . . | (3i 2i 204 7300<br>(Area Co~e-Telepholle Numbc;.r) | | | | | B. Ac.cou:NTANT ID£NTiFICATioN | | | | | | INDEP.ENDENT PUBLIC ACCOUNTANT wliose bpin_io·ri is contai ~~;!. ln. this Report*<br>.RUBIO CPA, PC | | | | | | | | (Name-'o-.·if individllal,·state last. flrsi, middle name) | | | | | | 2727 Paces Ferry Ro SE, Suite,2-:1.6SO | ATLANTA | GA | 30339 | | | | (Address) | | _( State) | (Zip Cod~) | | | | -CIIECK.O;N.:E: | | | | | | | l V [<br>Certi.fied p·ublic Accountant | | | | | | | O<br>Public Accounta.nt | | | | | | | O<br>Acc()untalltnot r:esi~ent in tlni~e | States or a~y ofits po | e;ssion\$ | | | | | | FOR "OFFICIAL .USE ONLY | | | | | | I | | | | | | | | | | | | | *•Clai.ms jor.e.u,piionfrol!t'"the rqquirement that-the annZ{a/.ceport be covered* by the opini <sup>n</sup>*of an independent piiPiic* a~c untant *musi be SltP.P?r.te.d i)y a.-statement of facts. qndcircumstances relied on·aS the baSi\$ for the" exemption. Set; \$eCtion* 240.1 a-5(~}(~) > Potentrai .persons who are to r~s ond to the ~lleotlon of ln~qrma ion contain~d in thl~ form ~re n.9t requlr~d…Read the full text as markdown