Full text of AREAM ADVISORS LLC's X-17A-5 filed 2024-03-28 (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: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FI LE NUMBER | | |--|------------------|--| **(PCAOB R,g;~raUoa Nombe,, ;f apphca bleJ** I | | FACING PAGE | | | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------|-----------------------------------------|--|--|--|--|--| | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING | __ | 0_5_/_0_1_/2_0_2_3_AND ENDING | __<br>1 _2/_3_1_/2_0_2_3_ | | | | | | | | MM/DD/YY | | MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | __<br>NAME oF FIRM: | A_re_a_m_A_d_v_is_o_r_s_L_L_C | | ____________<br>_ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>GJ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 535 Mission Street - | Office 1720 | | | | | | | | | | (No. and Street) | | | | | | | | | San Francisco | CA | | 94105 | | | | | | | (City) | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Marie Katz | (917) 733-6503 | | mkatz@compliance-risk.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 | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 505 N. Murlen Road | Olathe | | KS<br>66062 | | | | | | | (Address) | (City) | | (State)<br>(Zip Code) | | | | | | | 01/05/2015 | 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.…Read the full text as markdown