Full text of FIRST ANALYSIS SECURITIES Corp's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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, 2023 This report is deemed public in accordance with Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------|--|--|--|--|--|--| | ANNUAL REPORTS | SEC FILE NUMBER | | | | | | | | FORM X-17A-5 | 8-27350 | | | | | | | | PART III | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | 01/01/23<br>FILING FOR THE PERIOD BEGINNING<br>AND ENDING | 12/31/23 | | | | | | | | MM/DD/YY | MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: First Analysis Securities Corporation | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>L Major security-based swap participant<br>ല Broker-dealer<br>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 | 60606 | | | | | | | | (State)<br>(City) | (Zip Code) | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Riaad Khan<br>(312) 258-1400 | rkhan@firstanalysis.com | | | | | | | | (Area Code - Telephone Number)<br>(Name) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US, LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 30 South Wacker Drive, Suite 3300 Chicago | 60606 | | | | | | | | (Address)<br>(City)<br>(State)<br>09/24/2003<br>49 | (Zip Code) | | | | | | | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable) | | | | | | | | FOR OFFICIAL USE ONLY<br>* Claims for exemption from the requirement…Read the full text as markdown