Full text of UHLMANN PRICE SECURITIES, LLC's X-17A-5 filed 2024-04-15 (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** **DECEMBER 31, 2023** 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** 0MB APPROVAL 0MB **Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** **FILING FOR THE PERIOD BEGINNING O 1/01/2023** **MM/DD/VY** **AND ENDING 12/23/2023 MM/DD/VY** **A. REGISTRANT IDENTIFICATION** **NAME oF FIRM:** Uhlmann Price Securities, LLC **TYPE OF REGISTRANT (check all applicable boxes}:** **[!] Broker-dealer** □ **Security-based swap dealer 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.)** # 5202 Old Orchard Road, Suite 250 | | (No. and Street) | | | | |----------------------------------------------------|---------------------------------------------------------------------------|---------------|------------------------------------------|--| | Skokie | IL | | 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.<br>ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Ohab and Company, P.A. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 100 E. Sybelia<br>(Address) | Maitland<br>(City) | FL<br>(State) | 32751<br>(Zip Code) | | | "<br>T<br>of Registratioo w;th PCAOBJI• applkable) | | 1839 | )PCAOB Reg;strat;oo N,mbec, • appllca�e) | | **\* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(ii), if applicable.** **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently…Read the full text as markdown