Full text of DORSET PEAK SECURITIES LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.** 20549 # **ANNUAL REPORTS FORM X-17A-S PARTIII** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMER 8- 70684 FACING PAGE Informa tion Required Put'Suil nt to Rules l 7a-S, I 7a-I2, and 18:i-7 unde1· the Securities Exclrn nge Act of 1934 FILING FOR THE PERIOD BEGINNING 01 /01 /23 AND ENDING **12/31 /23** MM/DD/YY MM/ DD/YY ## **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Dorset Peak Securities LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer O Security-based swap dealer O Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 416 West 13th Street | | (No. and Street) | | | |------------------------------------------------|--------------------------------|----------------------------------|--| | New York | NY | 10014 | | | (City) | (State) | (L.ip Code) | | | PERSON TO CONT ACT WITH REGA RD TO THIS FILING | | | | | Shari Rothenberg | (908) 7 43-1307 | srothenberg@integrated.so1utions | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNT ANT IDENTIFICA TTON | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fil ing\* # Warren Averett, LLC | (Name - if individual. state last. first. and middle name) | | | | | | |------------------------------------------------------------|------------|---------|---------------------------------------------|--|--| | 2500 Acton Road | Birmingham | AL | 35243 | | | | (Address) | (City) | (Stale) | (Zip Code) | | | | 05/17/2005 | | 2226 | | | | | (Date of Registration wilh PCAOB)(if applicable) | | | (PCAOB Regis1ra1 ion Number, ifapp licable) | | | **FOR OFFIC'IAL LIS E ONLY** • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountam must be suppo1ted by a statement of facts and circumstances re lied on as the basis of lhe exemption. See 17 CFR 240. I 7a-5(e)( I )(ii), if applicable. Persons who ar c to respond to the collection of informa tion contained in this form a re not r equired to respond unless the fo rm d is plays a currently va lid 0MB cont rol nu mber. {1}------------------------------------------------ ##…Read the full text as markdown