Full text of PEP ADVISORY LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. <sup>20549</sup>** ### **ANNUAL REPORTS FORM X-17A-5 PART III** | OMB Number: 3235-0123 | | | |---------------------------|--|--| | Expires: Nov.30,2026 | | | | Estimated average burden | | | | hours per response:<br>12 | | | 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 <sup>1934</sup>** FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: PEP Advisory LLC TYPE OF REGISTRANT (check all applicable boxes): E Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) # 100 Waugh Drive, Suite 600 | | | (No.<br>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<br>Number) | (Email Address) | | **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # Turner, Stone & Company, L.L.P. | 12700<br>Park<br>Central<br>Drive, | STE<br>1400 | Dallas | TX | 75251 | |--------------------------------------------------|-------------|-----------------------|-------------------------------|-------------| | (Address) | (City) | | (State) | (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 <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(ii),if applicable. **Persons who are torespond to the collection of information containedinthis form are notrequired to respond unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ #### OATH OR AFFIRMATION **| ;…Read the full text as markdown