Gladstone Securities LLC

08/28/2026 | Press release | Distributed by Public on 08/28/2026 12:14

Information Required of Brokers and Dealers (Form X-17A-5)

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

X-17A-5: Filer Information

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?

X-17A-5: Submission Information

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

X-17A-5: A. Registrant Identification

Name of Broker-dealer
GLADSTONE SECURITIES, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
1521 WESTBRANCH DRIVE
Address 2
SUITE 100
City
MCLEAN
State/Country
VIRGINIA
Mailing Zip/ Portal Code
22102

Name and Telephone Number of Person to Contact in Regard to this Report

Name
MIchael T Marrone
Telephone Number
646-930-1906

X-17A-5: B. Accountant Identification

Independent Public Accountant

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

X-17A-5: Signature

Oath or Affirmation

I, JACK DELLAFIORA, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of GLADSTONE SECURITIES, LLC, as of 06-30-2026, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
JACK DELLAFIORA
Title
MANAGING PRINCIPAL

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Gladstone Securities LLC published this content on August 28, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on August 28, 2026 at 18:15 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]