Full text of PREP SECURITIES, 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}------------------------------------------------ # **PUBLIC** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-69611 ## **ANNUAL REPORTS FORM X-17A-S PART** Ill **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>01/01/22 | | AND ENDING | ----~~----<br>12/31/22 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------|--------------------------------|-----------------|------------------------|--|--| | | MM/DD/ Y Y | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | ________<br>NAME OF FIRM: | P_R_E_P_Se_c_u_r_it_ie_s_,_L_L_C | | | ___________<br>_ | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>IX! Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 2750 Rasmussen Road, Suite 202 | | | | | | (No. and Street) | | | | | | | | Park City | UT | | | 84098 | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Kevin K. Hull | (844) 877-4153 | | | kevin.hull@preppg.com | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | CliftonlarsonAllen LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 293 Eisenhower Parkway, 2nd Floor | | Livingston | NJ | 07039 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 10/16/2003 | | | | 655 | | | | l"<br>(PCAOB Registcatioa N,mbec, if applicable JI<br>of Registcatioa with PCAOB)(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…Read the full text as markdown