Full text of PEAKSTONE SECURITIES, LLC's X-17A-5 filed 2024-02-23 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-68835 | | **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 **01/01/23** MM/DD/YY AND ENDING 12131 /23 MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: PEAKSTONE SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant 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 | 60607 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | STEPHEN SLEIGH | (312} 346-7318 | ssleigh@peakstone.com | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | Rubio CPA, PC | 3500 Lenox Road NE Suite 1500 | (Name - if individual, state last, first, and middle name)<br>Atlanta | GA | 30326 | |-------------------------------------------------------------------|-----------------------------------------------------------------------|---------|------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 5/5/09 | | 3514 | | | Tte of Reg;straUo, wOh PCAOBJ(;f appHrable) FOR OFFICIAL USE ONLY | | | {PCAOB R,g;,uaua, N,mbe,, ff appH~ble) I | | | | | | \* 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-5(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.** {1}------------------------------------------------ ### **O…Read the full text as markdown