Full text of DOWLING & PARTNERS SECURITIES LLC's X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # DOWLING & PARTNERS SECURITIES, LLC PUBLIC FINANCIALS {1}------------------------------------------------ PUBLIC UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB APPROVAL | | | |--------------------------|--|---------------------------| | OMB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | | | hours per response 12.00 | 11 | | SEC FILE NUMBER | |---------|-----------------| | 8-35658 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | |----------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------|--------------------------------|--| | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | | AND ENDING 12/31/2020 | | | | MM/DD/Y Y | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Dowling & Partners Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 190 Farmington Ave | | | | | | | (No. and Street) | | | | | Farmington | CT | | 06037 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Krista A. Hilbie 860.676.8600 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Whittlesey PC | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 280 Trumbull Street 25th Floor | Hartford | CT | 06103 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240 Levelan > Potential persons who are to respond to the collection of Information contained in this form are not required to respond unless the form displays a current…Read the full text as markdown