Full text of PEAKSTONE SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. .. .. 12.00 | SEC FILE NUMBER | |-----------------| | 8-68835 | **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 01/01/20<br>AND ENDING 12/31/20 | | ----------- | | |--------------------------------------------------------------------------|-----------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------------------------| | | | MM/DD/YY | | MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: PEAKSTONE SECURITIES, LLC | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 550 WEST VAN BUREN STREET, SUITE 1460 | | | | | | | | (No. and Street) | | | | CHICAGO | | IL | | 60607 | | (City) | | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | STEPHEN SLEIGH | | | | (312) 204-7300<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | RUBIO CPA, PC | | | | | | | | (Name - if individual, state last, first, middle name) | | | | 2727 Paces Ferry Rd SE, Suite 2-1680 ATLANTA | | | GA | 30339 | | (Address) | | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | a<br>Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption fi·om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unlesstheform displays a currently valid 0MB control number.** SEC 1410 (06-02) {1}---------------------------…Read the full text as markdown