Full text of STRATHMORE GROUP LLC's X-17A-5 filed 2023-06-20 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **STRATHMORE GROUP LLC** **Audited Statement of Financial Condition** **As of March 31, 2023** {1}------------------------------------------------ ### STRATHMORE GROUP LLC # STATEMENT OF FINANCIAL CONDITION, # MARCH 31, 2023 # CONTENTS | | PAGE | |--|------| |--|------| | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 2 | |---------------------------------------------------------|-------| | FINANCIAL STATEMENT | | | Statement of Financial Condition | 3 | | Notes to Financial Statement | 4 - 6 | {2}------------------------------------------------ # VICTOR MOKUOLU, CPA PLLC **Accounting | Advisory | Assurance & Audit | Tax** #### **Report of Independent Registered Public Accounting Firm** To: Sole Member Strathmore Group, LLC We have reviewed the management's statements, included in the accompanying Strathmore Group, LLC's Management Exemption Report, in which Strathmore Group (the "Company") states that: - 1. the Company does not claim an exemption under paragraph (k) of 17 C.F.R §240. 15c3.-3, and - 2. the Company is filing an exemption report relying on Footnote 74 of SEC Release 34-70073 adopting to 17 C.F.R. §240.17a-5, because: - i. the Company limits its business activities exclusively to engaging in activities permitted for capital acquisition brokers ("CAB") as defined in FINRA's CAB rules and approved for membership in FINRA as a CAB; - ii. the Company did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to Customers; - iii. the Company did not carry accounts of or for customers; and - iv. the Company did not carry PAB accounts, as defined in SEC Rule 15c3-3, and - 3. the Company complied with the identified Footnote 74 provisions throughout the year ended March 31, 2023 without exception. The Company's management is responsible for compliance with the provisions of Footnote 74 of SEC Release 34-70073 adopting amendments to 17 C.F.R §240.17a-5, and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about the Company's compliance with Footnote 74 of SEC Release 34-70073 adopting amendments to 17 C.F.R §240.17a-5. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on Management's Statements. Accordingly, we do not e…Read the full text as markdown