Full text of UHLMANN PRICE SECURITIES, LLC's X-17A-5 filed 2023-03-24 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### STATEMENT OF FINANCIAL CONDITION #### DECEMBER 31, 2022 The report is filed in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: ## ANNUAL REPORTS FORM X-17A-5 PART III | | SEC FILE NUMBER | | |--|-----------------|--| | | 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 01/01/2022 | | AND ENDING 12/31/2022 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Uhlmann Price Securities, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 5202 Old Orchard Road, Suite 250 | | | | | | (No. and Street) | | | | Skokie | | | 60077 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | James Baer | 312-264-4343 | | jbaer@upsecurities.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. Accountant Identification | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Spicer Jeffries LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 4601 DTC Blvd | Denver | CO | 80237 | | (Address) | (City) | (State) | (Zip Code) | | | | 349 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | " Chine for avampion from the ranival provision annus reports ha counted by the roports of an independent | 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 240.1…Read the full text as markdown