Full text of TJM INVESTMENTS, LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## CONSOLIDATED STATEMENT OF FINANCIAL CONDITION AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT DECEMBER 31, 2019 {1}------------------------------------------------ # CONSOLIDATED STATEMENT OF FINANCIAL CONDITION AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT DECEMBER 31, 2019 # CONTENTS | | Page | |-------------------------------------------------------------------------------------------------------------|------| | Facing Page | 1 | | Oath or Affirmation | 2 | | Report of Independent Registered Public Accounting Firm<br>on Consolidated Statement of Financial Condition | 3 | | Consolidated Financial Statement: | | | Consolidated Statement of Financial Condition | 4 | | Notes to Consolidated Statement of Financial Condition | 5-10 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31 , 2020 Estimated average burden hours per response .. . . .. 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER **B-51370** **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | REPORT FOR THE PERIOD BEGINNING January 1, 2019<br>MM/DD/YY | AND ENDING December 31, 2019 | MM/DD/YY | |----------------------------------------------|---------------------------------------------------------------------------|------------------------------|--------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: T JM Investments, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | 318 W. Adams St., 9th Floor | | | | | | (No. and Street) | | | | Chicago | Illinois | | 60606 | | (City) | (State) | | (Zip Code) | | Colleen Risinger (312) 432-5102 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | Jesser, Ravid, Jason, Basso and Farber, LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | | 150 N. Wacker Drive, Suite 3100 Chicago | Illinois | 60606 | | (Address) | (C ity) | (State) | (Zip Code) | | CHECK ONE: | | | | | I I I<br>Certified Public Accountant | | | |…Read the full text as markdown