Full text of HIGHTOWER SECURITIES, 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}------------------------------------------------ # **HighTower Securities, LLC** Statement of Financial Condition and Report of Independent Registered Public Accounting Firm as of December 31, 2019 **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 ner resnonse ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER **8-53560** **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | | ___<br>__<br>1_2_/3_1_/_2_0_19<br>MM/DD/YY | | |-------------------------------------------------------------------|----------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | MM/DD/YY | | | | | | | | | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | | | (No. and Street) | | | | | IL | | 60606 | | | (State) | | (Zip Code) | | | | | | | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | | | | | | | | | | | Chicago | IL | 60601 | | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | __<br>0_1_/_0_1 f_2_0_1_9<br>200 W. Madison Street, Suite 2500 | ___<br>AND ENDING<br>A. REGISTRANT IDENTIFICATION<br>HighTower Securities, LLC<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 | | *must be supported by a statement of facts and circumstances relied on as the basis for the exemption.* See *Section 240. l 7a-5 (e)(2)* Potential persons who are to respond to the…Read the full text as markdown