Full text of DOWLING & PARTNERS SECURITIES LLC's X-17A-5 filed 2022-02-24 (period 2021-12-31). 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 **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | |--------------------------|--|--| | 0MB Number: 3235-0123 | | | | Expires: Oct. 31, 2023 | | | | Estimated average burden | | | | hours per response: 12 | | | | | | | | | | | **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-35658 **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 01/01/2021<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>NAME OF FIRM: Dowling & Partners Securities, LLC<br>TYPE OF REGISTRANT (check all applicable boxes):<br>QI Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>190 Farmington Ave<br>(No. and Street)<br>Farmington<br>CT<br>(City)<br>(State) | | MM/DD/YY | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|---------------------------------------------| | | | | | | | | | | | | | | □ Major security-based swap participant | | | | | | | | | | | | | | | | | 06032 | | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Krista A. Hilbie<br>860.676.8600 | krista@dowling.com | | | (Name)<br>(Area Code -Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Whittlesey PC | | | | (Name - if individual, state last, first, and middle name) | | | | 280 Trumbull Street 25th Floor<br>Hartford | CT | 06103 | | (City)<br>(Address) | (State) | (Zip Code) | | 1/10/2006 | 2538 | | | T"<br>of Reg;,1rat100 with PCAOB)llf appllrable) FOR OFFICIAL USE ONL y | | (PCAOB Reg;,tcat;oo N•mbec, • appllo,ble) I | | | | | | • Claims for exemption from the requirement that the annual report…Read the full text as markdown