Full text of CREATIVEONE SECURITIES, LLC's X-17A-5 filed 2024-03-29 (period 2023-12-31). 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 | | |--|-----------------|--| | | | | 8-68494 MM/DD/YY **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 **0 1/01 /23** MM/DD/VY AND ENDING **12/31 /23 A. REGISTRANT IDENTIFICATION** NAME oF FIRM: CreativeOneSecurities, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 6330 Sprint Parkway, Suite 400 (No. and Street) | Overland Park | KS | 66211 | |---------------|---------|------------| | (City) | (State) | (Zip Code) | PERSON TO CONTACT WITH REGARD TO THIS FILING | Susan Hayes | 609-642-6593 | shayes@pattentraining.com | | | |-------------|-------------------------------|---------------------------|--|--| | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | | | #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* | | | Moss Adams LLP | | | | |--|--|----------------|--|--|--| |--|--|----------------|--|--|--| | 999 Third Avenue, Suite 2800 Seattle | (Name - if individual, state last, first, and middle name) | WA | 98104 | |-------------------------------------------------|------------------------------------------------------------|---------|------------| | (Address) | (City) | (State) | (Zip Code) | | 10/16/03 | | 659 | | | r<br>te of Reg;,nat;oo w;th PCAOB)Uf appUcable) | | | | | | 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 collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Jeff Eisenhauer s…Read the full text as markdown