Full text of PEAKSTONE SECURITIES, LLC's X-17A-5 filed 2023-02-21 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **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-17 A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01 /01/22** AND ENDING **12f31** f22 MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAMEOFFIRM: PEAKSTONE SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer D Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 550 WEST VAN BUREN STREET, SUITE 1460 | | | (No. and Street) | | | | | | |------------------------------------------------------------------------------------------------------------------------|----------------|------------------------------------------------------------|--------------------------------------------|-----------------------|--|------|--| | Chicago | | IL | | | | 6067 | | | {City) | | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | STEPHEN SLEIGH | (312) 204-7300 | | | ssleigh@peakstone.com | | | | | {Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | RUBIO CPA, PC | | {Name - if individual, state last, first, and middle name) | | | | | | | 3500 Lenox Road NE Suite 1500 | | Atlanta | GA | 30326 | | | | | (Address) | | (City) | (State) | (Zip Code) | | | | | 5/5/09 | | | 3514 | | | | | | T"<br>of Registratioo with PCAOBJI• applicable) FOR OFFICIAL USE ONLY | | | (PCAOB Registcatioo N,mbe,, ;f applicable) | | | | | | | | | | | | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. 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. | SEC FILE NUMBER | |-----------------| | 8-68835 | | | {1}--------------------------------------…Read the full text as markdown