Full text of PREP SECURITIES, LLC's X-17A-5 filed 2024-02-20 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # 38%/,& **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ Estimated average burden hours per response: > SEC FILE NUMBER ϴͲϲϵϲϭϭ ## **ANNUAL REPORTS FORM X-17A-5 PART III** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | A. REGISTRANT IDENTIFICATION | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|--------------------------------------------|--|--|--| | WZW^ĞĐƵƌŝƚŝĞƐ͕>><br>NAME OF FIRM: _______________________________________________________________________ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>y<br>܆<br>܆<br>܆<br>Broker-dealer<br>Security-based swap dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | ϮϳϱϬZĂƐŵƵƐƐĞŶZŽĂĚ͕^ƵŝƚĞϮϬϮ<br>_____________________________________________________________________________________ | | | | | | | (No. and Street) | | | | | | | WĂƌŬŝƚLJhdϴϰϬϵϴ<br>_____________________________________________________________________________________ | | | | | | | (City)<br>(State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | <ĞǀŝŶ<͘,Ƶůů;ϴϰϰͿϴϳϳͲϰϭϱϯŬĞǀŝŶ͘ŚƵůůΛƉƌĞƉƉŐ͘ĐŽŵ<br>_____________________________________________________________________________________ | | | | | | | (Name)<br>(Area Code – Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | ,,,W'ƌŽƵƉ͕>> | | | | | | | _____________________________________________________________________________________<br>(Name – if individual, state last, first, and middle name) | | | | | | | ϭϮϱϬKůĚ,ĞŶĚĞƌƐŽŶZĚ<br>ŽůƵŵďƵƐK,ϰϯϮϮϬ<br>_____________________________________________________________________________________ | | | | | | | (Address)<br>(City) | (State) | (Zip Code) | | | | | ϭϮͬϮϭͬϮϬϭϬϱϯϰϰ<br>_____________________________________________________________________________________ | | | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Num…Read the full text as markdown