Full text of WESTMINSTER RESEARCH ASSOCIATES LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Westminster Research Associates LLC Statement of Financial Condition As of December 31, 2023 (SEC I.D. No. 8-28900) {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMBER 8-28900 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING ___ 0 _1_/0_1/2__023 ___ AND ENDING ___ 1_2_/3_1_/2_0_2_3 __ | | | |----------------------------------------------------------------------------------------------|----------|----------| | | MM/00/YY | MM/DD/YY | #### **A. REGISTRANT IDENTIFICATION** NAME OF Fl RM: **\_\_\_\_ W\_ e\_s\_ tm\_ in\_ s\_ t\_ e\_ r \_R\_ e\_ s \_ ear\_\_ c \_h\_ A\_ s\_ s\_ o\_ c\_ i \_ at\_ e\_ s \_ L\_ L\_C \_\_\_\_\_\_\_\_\_\_\_\_\_ \_** TYPE OF REGISTRANT (check all applicable boxes): !RI Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | (No. and Street) | | | |--------------------------------------------------|---------------------------------------------------------------------------|-------------------------|--------------------------------------------| | New York | NY | 10022<br>(Zip Code) | | | (City) | (State) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Melissa Bowen-Fars ewicz | 646-690-3241 | Melissa.Bowen@cowen.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Ernst & Young LLP | (Name - if individual, state last, first, and middle name) | | | | | New York | NY | 10001 | | On e Manhattan W<br>est | (City) | (State) | (Zip Code) | | (Address)<br>10/20/2003 | | 42 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collect…Read the full text as markdown