Full text of STRATOS WEALTH SECURITIES, LLC's X-17A-5 filed 2024-03-15 (period 2023-12-31). 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, 2023 (Confidential Pursuant to Rule 17a-S(e)(3)) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17 A-5 PART Ill** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 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 1934** FILING FOR THE PERIOD BEGINNING **O 1/01 /23** AND ENDING **12/3 1 / <sup>2</sup> <sup>3</sup>** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAMEOFFIRM: STRATOS WEALTH SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 3750 Park East Drive, Suite 200 | Ohio<br>(State)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(201) 519-1905<br>(Area Code -Telephone Number) | 44122<br>(Zip Code)<br>mmanzo@moppartners.com | |--------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------| | | | | | | | | | | | | | | (Email Address) | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | PA<br>19001 | | | (State)<br>(Zip Code) | | 169 | | | | | | | | | | (Name - if individual, state last, first, and middle name)<br>Abington<br>(City) | \* 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 the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** **1,** \_\_ Ba\_m\_a\_ra\_S\_i\_m\_on\_s \_\_\_\_\_\_\_\_\_\_\_\_\_\_ ..J swear (or affirm) that, to the best of my knowledge and belief,…Read the full text as markdown