Full text of ROTHSCHILD INVESTMENT CORPORATION's X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2022 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<br>hours per response:<br>12 | | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|--| | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | | SEC FILE NUMBER<br>8-16429 | | | | PART Ill | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2022 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | AND ENDING 12/31/2022 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAMEOFFIRM: ROTHSCHILD INVESTMENT LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>0 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.)<br>311 SOUTH WACKER DRIVE, SUITE 5900 | | | | | | (No. and Street) | | | | | CHICAGO | IL | | 60606-6618 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS Fl Ll NG | | | | | | 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* | | | | | _ 1 N. WACKER DRIVE | (Name - If individual, state last, first, and middle name)<br>CHICAGO | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/18/2003 | | 344 | | | | rte of Regl,.cotlon with PCAOB)IIf oppli"ble) | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | accountant must be supported…Read the full text as markdown