Full text of LUMOS PARTNERS, LLC's X-17A-5 filed 2023-02-22 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Public** # **Lumos Partners, LLC** **Annual Audit Report** **December 31, 2022** {1}------------------------------------------------ *PUBLIC* **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-69141 **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 _____________________ AND ENDING ______________________ | 01/01/22 | | 12/31/22 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | Lumos Partners, LLC<br>NAME OF FIRM: _______________________________________________________________________ | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☐<br>☐<br>Broker-dealer<br>Security-based swap dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | | ☐<br>Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 309 Ray Street<br>_____________________________________________________________________________________ | | | | | | (No. and Street) | | | | Pleasanton<br>_____________________________________________________________________________________ | California | 94566 | | | (City) | | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Eddie Le<br>_____________________________________________________________________________________ | (415) 299-8601 | | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(UQVW<br>:LQWWHU<br>\$VVRFLDWHV<br>//3<br>_____________________________________________________________________________________ | | | | | | | (Name – if individual, state last, first, and middle name) | | | 675 Ygnacio Valley Road, Suite A200<br>____________________________________________________________________…Read the full text as markdown