Full text of CABOT LODGE SECURITIES LLC's X-17A-5 filed 2023-02-27 (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 # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | | | | |---------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | SEC FILE NUMBER 8-69009 **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 O 1/01/2022 | | AND ENDING 1213112022 | |---------------------------------------------|--|-----------------------| | | | | MM/00/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Cabot Lodge Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J 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.) | 200 Vesey Street, 24th Floor | | |------------------------------|--| |------------------------------|--| | | (No. and Street) | | | | |-----------------------------------------------|---------------------------------------------------------------------------|-----------------|-----------------------|--| | New York | | New York | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Roger F Leibowitz | 804-823-9902 | | roger. lei bowitz@cli | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | FGMK, LLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 333 W. Wacker Drive, 6th, flt Chicago | | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 12/17/2009 | | 3968 | | | | l"<br>of ,,.,t<,Uoo with PCAOB)(• applicableJ | | | | | | FOR OFFICIAL USE ONLY | | | | | \* 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. {1}------------…Read the full text as markdown