ROTHSCHILD INVESTMENT CORPORATION X-17A-5 (2021-02-26) — Broker-dealer annual report

Full text of ROTHSCHILD INVESTMENT CORPORATION's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: ROTHSCHILD INVESTMENT CORPORATION
• Form: X-17A-5
• Filed: 2021-02-26
• Period: 2020-12-31
• Accession: 0000085338-21-000002
• CIK: 85338
• File #: 8-16429
• Material weakness: No
• Auditor: Wipfli LLP
• Auditor location: Chicago, IL
• Contact: Bradley C. Drake
• Phone: 312-983-8956
• Signed by: Bradley C. Drake (Chief Financial Officer)

Document text (excerpt)

X-17A-5 0000085338 XXXXXXXX LIVE false false false 01-01-2020 12-31-2020 Broker-dealer N ROTHSCHILD INVESTMENT CORPORATION 311 S. WACKER DRIVE SUITE 6500 CHICAGO IL 60606-6618 Bradley C. Drake 312-983-8956 Wipfli LLP One N. Wacker Dr. Chicago IL 60606 Certified Public Accountant Bradley C. Drake ROTHSCHILD INVESTMENT CORPORATION 12-31-2020 Bradley C. Drake Chief Financial Officer Y

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Other filings by this registrant

• X-17A-5/A — 2026-04-08
• X-17A-5 — 2026-03-31
• X-17A-5 — 2024-04-01
• X-17A-5 — 2023-02-27
• X-17A-5 — 2022-02-28
• X-17A-5 — 2020-02-28
• X-17A-5 — 2019-03-01
• X-17A-5 — 2018-03-01
• X-17A-5 — 2017-03-01
• X-17A-5 — 2016-02-29
• X-17A-5 — 2015-03-02
• X-17A-5 — 2014-03-04

Original filing on SEC EDGAR (source of record)