Full text of ROTHSCHILD INVESTMENT CORPORATION's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2021 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | | |--------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------------------|---------------------------------------------------------------------------------------------|--|--| | | | | hours per response:<br>12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-16429 | | | | | PART Ill | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/21 | ------------------ | AND ENDING 12/31/21 | ------------------- | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: ROTHSCHILD INVESTMENT CORPORATION | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C1 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | 0 Security-based swap dealer | | 0 Major security-based swap participant | | | | | ADDRESS OF PRINCiPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 311 SOUTH WACKER DRIVE, SUITE 6500 | | | | | | | | (No. and Street) | | | | | | CHICAGO | IL | | 60606-6618 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | BRADLEY C. DRAKE | 312-983-8956 | | bdrake@rothschildinv.com | | | | (Name) | (Area Code- Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | WIPFLI LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (Name-if individual, state last, first, and middle name) | | | | | | 1 N. WACKER DRIVE | CHICAGO | IL | 60606 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 09/18/2003<br>l" | | 344 | | | | | of R•giW•tio" with PCAOBJ(If •ppli"bl•) | FOR OFFICIAL USE ONLY | | | | | • Claims for exemption from the requirement that the annual reports be covered by…Read the full text as markdown