Full text of FIRST ANALYSIS SECURITIES CORPORATION's X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Report Pursuant to SEC Rule 17a-5 and Report of Independent Registered Public Accounting Firm # First Analysis Securities Corporation December 31, 2022 This report is deemed public in accordance with Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | |-----------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------|----------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0123 | | | | | | Expires: Oct. 31, 2023 | | | | | | Washington, D.C. 20549 | | Estimated average burden<br>hours per response: 12 | | | | ANNUAL REPORTS | | | | | | | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-27350 | | | | PART III | | | | | | FACING PAGE | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | 12/31/22 | | | FILING FOR THE PERIOD BEGINNING | 01/01/22 | AND ENDING | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: First Analysis Securities Corporation | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | L Broker-dealer | | | _ Major security-based swap participant | | | L Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | One South Wacker Drive, Suite 3900 | | | | | | | (No. and Street) | | | | | Chicago, IL 60606 | | | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Riaad Khan | (312) 258-1400 | rkhan@firstanalysis.com | | | | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | RSM US, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 30 South Wacker Drive, Suite 3300 Chicago, IL 60606 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | 09/24/2003 | | 49 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | 1 | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the req…Read the full text as markdown