Full text of PEP ADVISORY LLC's X-17A-5 filed 2023-03-01 (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 | | 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 | | |-----------------|--| | 8-69224 | | **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 | 01/01/2022<br>" | AND ending | 12/31/2022 | |-------------------------------------------------------------------------------------------------------------------|----------------------------------------------------|-------------------------------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | PEP<br>AdviSOry<br>NAME OF FIRM: | LLC | | | | TYPE OF REGISTRANT (check all<br>K<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | applicable boxes):<br>Security-based swap dealer | Major | security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not | | use a P.O. box no.) | | | 100<br>Waugh<br>Drive,<br>Suite<br>600 | | | | | | (No. and Street) | | | | Houston | TX | | 77007 | | (City) | | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Walker<br>Moody | 713-804-7576 | | wmoody@pepadvisory.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>LLP.<br>Turner,<br>Stone<br>&<br>Company, | | in<br>this filing*<br>are contained | | | -<br>(Name | if individual, state last, first, and middle name) | | | | 12700<br>Park<br>Central<br>Drive,<br>STE | 1400<br>Dallas | TX | 75251 | | (Address) | (City) | | (State)<br>(Zip Code) | | 09/29/2003 | | 76 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | 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-5(e)(l)(ii), if applicable.** **Persons who are to respond to the collection of information contained in thi…Read the full text as markdown