Full text of FOUNTAINPLACE SECURITIES PARTNERS 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** | 0MB APPROVAL | | | | |---------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | 12<br>hours per response: | | | | | SEC FILE NUMBER | | | | | | | | | | 8-70883 | | | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 8-70 | |------| | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | auroras a«owe | 0<br>7<br>1<br>2<br>1<br>1<br>2<br>2 | moo _<br>1<br>2<br>/<br>3<br>1<br>1<br>2<br>2 | |---------------|--------------------------------------|-----------------------------------------------| | | MM/DD/YY | MM/DD/YY | **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: Fountainplace Securities Partners LLC TYPE OF REGISTRANT (check all applicable boxes): [ Broker-dealer [ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 3818 Rhodes Avenue | | (No. and Street) | | | | |----------------------------------------------|--------------------------------------------------------------------------|---------|-----------------------------|--| | Charlotte | NC | | 28210 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Angela Hajek | 678-679-8640 | | angela@mastercompliance.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | David Lundgren & Company | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | (Name -if individual, state last, first, and middle name) | | | | | 505 N Mur-Len Rd | Olathe | KS | 66062 | | | | (City) | (State) | (Zip Code) | | | (Address) | | 6075 | | | 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. {1}------------------------------------------------ #### **OATH OR AFF…Read the full text as markdown