Full text of ACQUIOM FINANCIAL LLC's X-17A-5 filed 2024-03-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Annual Audit Report** **December 31, 2023** **Public Document** {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number: 3235-0123 # **ANNUAL REPORTS FORM X-17A-5 PART III** Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 OMB APPROVAL SEC FILE NUMBER 8-69408 **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<br>01/01/23<br>MM/DD/YY | AND ENDING | 12/31/23<br>MM/DD/YY | |---------------------------------------------------------------------------------|------------------------------------------------------------|----------------------------------------|--------------------------------------------| | | A.<br>REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Acquiom Financial LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | ; Broker-dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆Security-based swap dealer | ܆Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 950 17th Street, Suite 1400 | | | | | (No. and Street) | | | | Denver | CO | | 80202 | | (City) | (State) | | (Zip Code) | | | | | | | Tyler Richter<br>(Name) | (720) 709-1207<br>(Area Code – Telephone Number) | (Email Address) | trichter@srsacquiom.com | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | FORVIS, LLP | (Name – if individual, state last, first, and middle name) | | | | 1801 California St, Ste 2900 | Denver | CO | 80202 | | (Address) | (City) | (State) | (Zip Code) | | 10/16/2003 | | 686 | | | (Date of Registration with PCAOB)(if applicable) | | | | | | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, 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}------------------------------------------------ | Bill Shepherd | swear (or affirm) that, to the best of my knowledge and belief, the | | | | |-------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------…Read the full text as markdown