Full text of PEAKSTONE SECURITIES, LLC's X-17A-5 filed 2025-02-24 (period 2024-12-31). 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** # **ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01 /24** MM/DD/VY AND ENDING **<sup>1</sup> 2/3 1 /24** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: PEAKSTONE SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer □ 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 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 6067 (Zip Code) STEPHEN SLEIGH (312) 204-7300 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 (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 **)PG\OB Regi>tcatioo N,mbe,,** if **applicable)** 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-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. 0MB APPROVAL 0M B Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FI LE NUMBER 8-68835 | (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 | | | | | | | | | **r te of Registcatio, with PG\OBJ(if apPlicable) FOR OFFICIAL USE ONLY** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** I, STEPHEN SLEIGH swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm…Read the full text as markdown