Full text of STRATOS WEALTH SECURITIES, LLC's X-17A-5 filed 2021-03-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL<br>AUDITED<br>FORM<br>X-17A-5<br>PART<br>Ill | REPORT | 0MB APPROVAL<br>0MB Number:<br>3235-0123<br>Expires:<br>October 31, 2023<br>Estimated average burden<br>hours per response 12.00<br>SEC FILE NUMBER<br>8-70019 | | |--------------|---------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | Information<br>Securities | FACING PAGE<br>Required of<br>Brokers and<br>Dealers Pursuant<br>Exchange Act<br>of 1934 and | to Section 17<br>Rule 17a-5 Thereunder | of the | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | AND ENDING 12/31/2020 | | | | | MM/DD/YY | | | ----------<br>MM/DD/YY | | | | | A. REGISTRANT<br>IDENTIFICATION | | | | | | NAME op BROKER-DEALER: Stratos<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | Wealth<br>Securities | | OFFICIAL USE ONLY | | | 3750<br>Park | East<br>Drive | (Do not use P.O. Box No.) | | FIRM 1.D. NO. | | | | | (No. and Street) | | | | | | Beachwood<br>(City) | OH | | 44122 | | | | (State)<br>NAME AND TELEPHONE NUMBER OF PERSON | | | (Zip Code) | | | | | TO CONTACT IN REGARD TO THIS REPORT<br>Matthew Dunn | | 440-505-5620 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNT<br>ANT<br>IDENTIFICATION | | | | | Hartgraves | INDEPENDENT PUBLIC ACCOUNT ANT whose<br>Accounting<br>& | opinion is contained in this Report•<br>Consulting,<br>LLC | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 325<br>N. | St.<br>Paul<br>Street, | Ste<br>3100<br>Dallas | TX | 75201 | | | | | (City) | (State) | (Zip Code) | | | B | 1/lcertified Public Accountant<br>Public Accountant | | | | | | | | Accountant not resident in United States or any<br>of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | II | | | | | | | | •claims for exemption from the requirement that the | annual report be covered by the opinion of an independent | | public accountant | | *must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5(e)(2)* SEC 1410 (11 ·0…Read the full text as markdown