Full text of WESTPORT FINANCIAL SERVICES, L.L.C.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | 'PUBLIC' | | | | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------|----------------------------------------------------|--| | UNITED STATES | | | OMB APPROVAL | | | SECURITIES AND EXCHANGE COMMISSION | | | OMB Number: 3235-0123 | | | | Washington, D.C. 20549 | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-48204 | | | | PART II | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/22<br>AND ENDING | | 12/31/22 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: WESTPORT FINANCIAL SERVICES, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-deal<br>□ 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 | (203) 653-2432 | | JEANNE.HELLER@WTWCO.COM | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. 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) | | | | 100 | | | | | (Date of Registration with PCAOB)(if applicable) | PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | | CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information c…Read the full text as markdown