Full text of HIGHTOWER SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **HighTower Securities, LLC** Schedule of Assessment and Payments General Assessment Reconciliation (Form SIPC-7) December 31, 2020 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(3)(3) Under the Securities Exchange Act of 1934. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ {1}------------------------------------------------ UNITEDSTATES SECUBITIES AND EXCITANGE COMMESION Washington. D C 20549 | 116 September 2011 September 201 | | |----------------------------------|--| | ANNUAL AUDITED REPORT | | | FORM X-17A-5 | | | 2431 11 | | | | OMS APPROVA. | | | |------------|--------------|---------------------------|--| | OMB Number | | 3235 0123 | | | | | Open . Occuber 31, 2021 | | | | | Estimated average builden | | | | | Ours: (6x response 12 00 | | | | | | | | SEC FILE NUMBER | | |-----------------|--| | +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 | REPORT FOR THE PERIOD BEG. NNING | 01/01/2020 | AND I:NDING | 12/31/2020 | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------|------------|--------------------------------| | | MANCIDYY | | | MM/DD/YY | | | A. REGISTRANT DENTIFICATION | | | | | NAMI: OF BROKER-DEALER: | HighTower Securities, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINISSS: (On mot use P.O. Box Net.)<br>200 W. Madison Street, Suite 2500 | | | | FIRM I.D. NO | | | (No. and Street) | | | | | Chicago | = | | 60606 | | | (CFI) | (State) | | Cip Cadel | | | NAME AND THE PHONE NUMBER OIF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Mycoso Kat<br>312-062-1021 | B. ACCOUNTANT IDENTIFICATION | | | (Area Code - Telephone Number) | | INDERENDENT PUBLIC ACCOUNIANT whose opinion is containod in this Reports<br>KPMG LLP | | | | | | | (Name - if individual, state lost, first, middle name) | | | | | 200 E Randolph St. | Chicago | - | | 60601 | | (Address) | (City) | (State) | | (is Code) | | CRECK ONE:<br>Coulied Public Accountant<br>Public Aucominizar<br>Accountant not resident in United States or any…Read the full text as markdown