Full text of DOUGALL & ASSOCIATES INC.'s X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION PURSUANT TO SEC RULE 17a-5(d) > December 31, 2023 PUBLIC Filed as PUBLIC pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | |------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|--------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8-49806 | | | | PART III | | | | | | | | 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 January 1, 2023 AND ENDING December 31, 2023<br>MM/DD/YY<br>MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: DOUGALL & ASSOCIATES INC. | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | Check here if respondent is also an OTC derivatives dealer | Broker-dealer Security-based swap dealer Major security-based swap participant | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 445 EAST NORTH WATER STREET APT 2203 | | | | | | | (No. and Street) | | | | | | CHICAGO | ILINOIS | | | 60611 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | CHAD BLUETT | 312-663-2670 | | | cbluett@dougallassociates.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Jesser, Ravid, Jason, Basso, and Farber, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | 60606 | | | 230 W. Monroe St, Ste 2300 Chicago |…Read the full text as markdown