Full text of STRATOS WEALTH SECURITIES, LLC's X-17A-5/A filed 2022-03-21 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Stratos Wealth Securities, LLC Financial Statements and Supplementary Information For the Year Ended December 31, 2021 (Confidential Pursuant to Rule 17a-S(e)(3)) {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL<br>REPORTS | |---------------------| | FORM<br>X-17<br>A-5 | | PART<br>Ill | | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | SEC FILE NUMBER 8-70019 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act** of **<sup>1934</sup>** FILING FOR THE PERIOD BEGINNING **01 /01 /21** MM/DD/VY ---------MM/DD /Y Y **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : STRATOS WEAL TH SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): iii Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer AND ENDING **12/31 /21** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 3750 Park East Drive, Suite 200 | | (No. and Street) | | | | |--------------------------------------------------------------|-------------------------------------------------------------|------------------------|--------------------------------------------|--| | Beachwood | OH | 44122 | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS | FILING | | | | | Mark<br>T<br>Manzo | (201<br>(<br>519-1905 | mmanzo@moppartners.com | | | | (Name)<br>1!<br>I | (Area Code - Telephone Number) | {Email Address) | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT | B. ACCOUNTANT IDENTIFICATION<br>whose reports are contained | in this filing* | | | | Sanville<br>&<br>Company | | | | | | 1514<br>Old<br>York<br>Road | (Name - if individual, state last, first, and middle name) | PA | 19001 | | | | Abington<br>(City) | (State) | | | | 9/18/2003 | | 169 | (Zip Code) | | | (i<br>(Address)<br>of R,gi,trat~o with PCAOB)(if applicable) | | | (PCAOB Regimatioo N,mbe,, if applicable) I | | 1 • II I 'I 1 1111·aq~Rl/1j1l~n~1r,~st1q~ ~~~,~rted by a statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.lJ.7a-S(~)(i)~ii)) if ~pplicable. **Persons who are to respond to the collection of Information contained in this form are not requ…Read the full text as markdown