Full text of WESTPORT FINANCIAL SERVICES, L.L.C.'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}------------------------------------------------ 'PUBLIC' **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB APPROVAL | | | | |---------------------------|------------------|--|--| | 0MB Number: | 3235-0123 | | | | Expires: | October 31, 2023 | | | | Estimated average burden | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER | |-----------------| | B-48204 | **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 1/1/2020 | ----------- | AND ENDING 12/31/2020 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|--------------------------------------------------|--|--|--| | | MM/DD/ Y Y | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF BROKER-DEALER: WESTPORT FINANCIAL SERVICES, LLC | | OFFICIAL USE ONLY | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | | 3001 SUMMER STREET, FLOOR 3 | | | | | | | | STAMFORD | (No. and Street) | CONNECTICUT | 06905 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>JEANNE R. HELLER | | | (203) 653-2432<br>(Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>WITHUM SMITH+BROWN, PC | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | 1411 BROADWAY, 9TH FLOOR | NEW YORK | NEW YORK | 10018 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE:<br>IV I<br>Certified Public Accountant<br>B<br>Public Accountant<br>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 240.17 a-5 (e) (2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond un…Read the full text as markdown