Full text of LINDEN THOMAS AND COMPANY SECURITIES, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-70026 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 01/01/2022 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Linden Thomas and Company Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 国 Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 516 N Tryon Street | | (No. and Street) | | | | |------------------------------------------------------------------------------------------------|----------------------------------------------------------------------|--------------------------------------------|------------|--| | Charlotte | | North Carolina | 28202 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Deirdre Patten Kowalski 281-419-6030 | | dpatten@lindenthomas.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | McBee & Co., PC | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>718 Paulus Avenue | (Name - if individual, state last, first, and middle name)<br>Dallas | Texas | 75214 | | | | (City) | (State) | (Zip Code) | | | | | 3631 | | | | (Address)<br>9/22/2009<br>(Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION Deirdre Patten Kowalski swear (or affirm) that, to the best o…Read the full text as markdown