Full text of WESTPORT FINANCIAL SERVICES, L.L.C.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-48204 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------------|------------------------------------------|--| | FIUNG FOR THE PERIOD BEGINNING _.;_.;;_;.;._;;;:;_;______ | 01/01/21 | 12/31/21<br>AND ENDING _;._;;;;:;;;;_;.;:;;;;_;_ | _____ _ | | | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: WESTPORT FINANCIAL SERVICES, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>-fi Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 3001 SUMMER STREET FLOOR 5 | | | | | | | (No. and Street) | | | | | STAMFORD | CT | | 06905 | | | (City) | /State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | JEANNE R. HELLER<br>(203) 653-2432 | | JEANNE.HELLER@WILLISTOWERSWATSON.COM | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | WITHUM SMITH+BROWN PC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1411 BROADWAY 9TH FLOOR | NEW YORK | NY | 10018 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | (PCAOB R,g;st,atkm N"mbec, ;t applkable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent publ ic accountant must 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 collection of information cont…Read the full text as markdown