Full text of WILLIAMS TRADING LLC's X-17A-5 filed 2019-02-28 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | | | |---------------------------|-----------------|--|--| | OMB Number: | 3235-0123 | | | | Expires: | August 31, 2020 | | | | Estimated average burden | | | | | hours per response 12.00 | | | | SEC FILE NUMBER 8-50372 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | AND ENDING 12/31/2018<br>REPORT FOR THE PERIOD BEGINNING 01/01/2018 | | | | | |------------|---------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------|---------|---------------|--------------------------------| | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: TUOHY BROTHERS INVESTMENT RESEARCH, INC<br>OFFICIAL USE ONLY | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 450 POST ROAD EAST, SUITE 120 | | | | | | | | (No. and Street) | | | | | | WESTPORT | CT | | 06880 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>BABAK B MOROVATI | | | 203-353-7685 | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | CITRIN COOPERMAN & COMPANY, LLP | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 709 WESTCHESTER AVENUE WHITE PLAINS | | NY | | 10604 | | (Address) | | (City) | (State) | | (Zip Code) | | CHECK ONE: | | | | | | | | Certified Public Accountant | | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | \*Claims for 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) SEC 1410 (06-02) Potential 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 v…Read the full text as markdown