Full text of HANCOCK WHITNEY INVESTMENT SERVICES INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Explres: August 31, 2020 Estimated average burden hours nerresnonse .... , .12.00 SEC FILE NUMBER B-49106 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNJNG_0_1_/_0_1/_2_0_1_9 | ____ | | ____<br>AND ENDING_1_2_/3_1_/_20_19<br>_ | | |--------------------------------------------------------------------------------------------------------|---------------------------------------------------------|---------|------------------------------------------|--| | | MMIDDIYY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Hancock Whitney Investment Services, Inc. | OFFICIAL USE ONLY | | | | | ADDRESS OF PRJNCIPAL PLACE OF BUSINESS: (Do notuso P.O. Box No.) | | | FIRM I.D. NO. | | | Hancock Whitney Center 701 Poydras Street, Suite 3100 | | | | | | | (No. and Street) | | | | | New Orleans | LA | | 70139 | | | (City) | (State) | | {Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO TIDS REPORT<br>Ronald J, DaD!anc | | | 604-729-1147 | | | | | | (Arca Code - Te(ephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whoso opinion is contained in this Report*<br>PricewaterhouseCoopers LLP | | | | | | | (Name - if individual, state last,jlJ"st, middle. name) | | | | | 909 Poydras Street, Suite 3100 New Orleans | | LA | 70112 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | /<br>I certified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United States 01· any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims/or 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 240.17a-5(e)(2)* > Potential persons who are to re~pond to the colJection of information contained in this form are not required to respond unless the form displays a currentlyvalld 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATI…Read the full text as markdown