Full text of HIGHTOWER SECURITIES, 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}------------------------------------------------ Statement of Financial Condition and Report of Independent Registered Public Accounting Firm as of December 31, 2018 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ 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 PARTIII** SEC FILE NUMBER **8-53560** **FACING PAGE** **Information Reqnired 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. | ____<br>__<br>0_1_/0_1_/_2_0_18 | AND ENDING | ___<br>__<br>_<br>1_2_/3_1_/_2_0_18 | |---------------------------------------------------------------------------------------------------------|---------------------------------------------------------|---------------|-------------------------------------| | | MMIDD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | High Tower Securities, LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 200 W. Madison Street, Suite 2500 | | | | | | (No. and Street) | | | | Chicago | IL | | 60606 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>312-962-3821<br>Matthew Karl | | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | KPMG LLP | | | | | | (Name - if indi1•idual, state last, first, middle name) | | | | 191 W. Nationwide Blvd. | Columbus | OH | 43215 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I<br>✓<br>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 240.17 a-5 (e)(2)* > Potential persons who are to respond to the collection of information contained in this form are no…Read the full text as markdown