Full text of PULLMAN SECURITIES, LLC's X-17A-5 filed 2020-02-26 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Pullman Securities, LLC** # SEC No. 8-51234 ## FINANCIAL STATEMENTS AND SUPPLEMENTAL SCHEDULE FOR THE YEAR ENDED DECEMBER 31, 2019 AND ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND REVIEW REPORT REGARDING EXEMPTION PROVISIONS These financial statements and schedules are deemed CONFIDENTIAL pursuant to subparagraph (e)(3) of Rule 17a-5 of the Securities and Exchange Commission. {1}------------------------------------------------ "PUBLIC" 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 8-51234 ## 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 | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | | | |------------------------------------------|-----------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--| | | | | | | | | | | | | | | | OFFICIAL USE ONLY | | | | Pullman Securities, LLC | | | | | | | | FIRM ID. NO. | | | | | | | | | | | | | | | | | | 90069 | | | | | | (Zip Code) | | | | | | | | | | (310) 288-0558<br>David Pullman | | | | | | | | (Area Code - Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Texas<br>(State) | 77478<br>(Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (No. and Street)<br>(State)<br>Sugar Land<br>(City) | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first, middle name)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | \* Claims for exemption from the requir…Read the full text as markdown