Full text of BATTERY EAST GROUP, 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}------------------------------------------------ # Battery East Group, LLC Annual Audit Report December 31, 2023 {1}------------------------------------------------ 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 | | |-----------------|--| | 8-69383 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/23 filing for the period beginning 01/01/23 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Battery East Group, LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-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 a P.O. box no.) 915 Battery Street, 1st Floor (No. and Street) San Francisco California 94111 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Clark Tucker 205-721-0507 tucker@scenicadvisement.com (Name) (Area Code – Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst Wintter & Associates LLP (Name – if individual, state last, first, and middle name) 675 Ygnacio Valley Road, Suite A200 Walnut Creek CA 94596 (Address) (City) (State) (Zip Code) 02/24/09 3438 (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 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)(1)(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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION Michael Sobel swear (or affirm) that to the hest of my knowledge | | | | Sweat (of animal to the best of the best of the MOWICABE and belief, the | | |-------|--------------------------------------------------------------------|--|--------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown