08/28/2026 | Press release | Distributed by Public on 08/28/2026 12:14
| Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
|
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
| Filer CIK |
0001253492
|
| Filer CCC |
XXXXXXXX
|
| Is this a LIVE or TEST Filing? | LIVE TEST |
| Would you like a Return Copy? | |
| Is this an electronic copy of an official filing submitted in paper format? | |
| Confirming Copy File Number | |
Submission Contact Information |
|
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |
| Report for the Period Beginning |
07-01-2025
|
| and Ending |
06-30-2026
|
| Type of Registrant | Broker-dealer |
| OTC derivatives dealer |
Material Weakness |
|
| Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
| Name of Broker-dealer |
GLADSTONE SECURITIES, LLC
|
| Address 1 |
1521 WESTBRANCH DRIVE
|
| Address 2 |
SUITE 100
|
| City |
MCLEAN
|
| State/Country |
VIRGINIA
|
| Mailing Zip/ Portal Code |
22102
|
| Name |
MIchael T Marrone
|
| Telephone Number |
646-930-1906
|
| Name - if individual, state last, first, and middle name |
PRICEWATERHOUSE COOPERS LLP
|
| Address 1 |
655 NEW YORK NW
|
| City |
WASHINGTON
|
| State/Country |
DISTRICT OF COLUMBIA
|
| Mailing Zip/ Postal Code |
20001
|
| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
| Signature |
JACK DELLAFIORA
|
| Title |
MANAGING PRINCIPAL
|
| Checking this box acknowledges that this oath or affirmation has been notarized. |