Full text of FORTRESS PRIVATE LEDGER, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-70027 | Information Required Pursuant to Rules 17a-5, 17a-12, and l~a,-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--|--| | FILING FOR THE PERIOD BEGINNING | ___<br>___<br>0_1_/0_1_/_21 | AND ENDl~G | __<br>___<br>_<br>12_/_3_1/_2_1 | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | ____<br>NAME OF FIRM: | F_o_rt_re_s_s_P_riv_a_t_e_L_e_d_g_e_r _L_LC | ______________ | _ | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 3110 Edwards Mill Rd, Ste 200 | | | | | | | (No. and Street) | | | | | | Raleigh | NC | | 27612 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Ana R. Carter | 813-442-1645 | | ana.carter@emailfpl.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | David Lundgren and Company, CPAs | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 505 N Mur-Len Rd<br>Olathe | | KS | 66062 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 01/05/2015<br>6075 | | I | | | | | rte<br>of Reglstratloo w;th PCAOB )Of a pplka ble I | | | (PCAOB Reglstcatloo N,mbe,, If applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | * 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-5(e)(l)(ii), if applicable. **Persons who are to respond to the co…Read the full text as markdown