# HIGHTOWER SECURITIES, LLC X-17A-5 (2021-02-26) — Broker-dealer annual report - Company: HIGHTOWER SECURITIES, LLC - Form: X-17A-5 - Filed: 2021-02-26 - Period: 2020-12-31 - Accession: 0001146169-21-000002 - CIK: 1146169 - File #: 8-53560 - Material weakness: No - Auditor: KPMG LLP - Auditor location: Chicago, IL - Contact: Matthew Karl - Phone: 312-962-3821 - Signed by: Matthew Karl (FinOp) Original filing: https://www.sec.gov/Archives/edgar/data/1146169/000114616921000002/htssipcr.pdf --- {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.)
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
Mycoso Kat
312-062-1021 | B. ACCOUNTANT IDENTIFICATION | | | (Area Code - Telephone Number) | | INDERENDENT PUBLIC ACCOUNIANT whose opinion is containod in this Reports
KPMG LLP | | | | | | | (Name - if individual, state lost, first, middle name) | | | | | 200 E Randolph St. | Chicago | - | | 60601 | | (Address) | (City) | (State) | | (is Code) | | CRECK ONE:
Coulied Public Accountant
Public Aucominizar
Accountant not resident in United States or any of its pessessuines. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | "Clauss for exemplian from the reguirement that the annual report be covered by the openion of an independent public uccusual must be supported by a statement of feats and circumstances relied on as the boss for the exempliers Sec. Section 2 40.172/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2/2 > Potential persons who are to respond to the collection of information contained In this torm are not required to respond unless the lonn d'apisys a custently valid OMB conta al number: SEC 1410 (11-05) {2}------------------------------------------------ ## **--** | QnɌęs

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ŐɌ,LŕȨ]'6Åij]æɌ | | -AB7/= 3/;B3B3.'/%(B>9>+0>B | &B:@ 1B68*#,B5B?!;B\$)"2B#4.B | B | {3}------------------------------------------------ ![](_page_3_Picture_0.jpeg) KPMG LLP Aon Center Suite 5500 200 E. Randolph Street Chicago, IL 60601-6436 ## **Report of Independent Registered Public Accounting Firm on Applying Agreed-Upon Procedures Pursuant to SEC Rule 17a-5(e)(4)** The Member and Management HighTower Securities, LLC: In accordance with Rule 17a-5(e)(4) under the Securities Exchange Act of 1934 and with the Securities Investor Protection Corporation (SIPC) Series 600 Rules, we have performed the procedures enumerated below with respect to the accompanying General Assessment Reconciliation (Form SIPC-7) for the year ended December 31, 2020, which were agreed to by HighTower Securities, LLC (the Company) and SIPC, solely to assist you and SIPC in evaluating the Company's compliance with the applicable instructions of the General Assessment Reconciliation (Form SIPC-7). The Company's management is responsible for the Company's compliance with those requirements. This agreed-upon procedures engagement was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of these procedures is solely the responsibility of those parties specified in this report. Consequently, we make no representation regarding the sufficiency of the procedures described below either for the purpose for which this report has been requested or for any other purpose. The procedures and the associated findings are as follows: - 1. Compared the listed assessment payments in Form SIPC-7 with respective cash disbursement records entries which included copies of the wire transfer sent to SIPC, and noted no differences; - 2. Compared the Total Revenue amount reported on the Annual Audited Form X-17A-5 Part III for the year ended December 31, 2020, with the Total Revenue amount reported in Form SIPC-7 for the year ended December 31, 2020, and noted no differences; - 3. Compared any adjustments reported in Form SIPC-7 with supporting schedules and working papers, and noted no differences; and - 4. Recalculated the arithmetical accuracy of the calculations reflected in Form SIPC-7 and in the related supporting schedules and working papers supporting the adjustments, and noted no differences. We were not engaged to, and did not, conduct an examination or a review, the objective of which would be the expression of an opinion or conclusion, respectively, on the Company's compliance with the applicable instructions of the General Assessment Reconciliation (Form SIPC-7). Accordingly, we do not express such an opinion or conclusion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) This report is intended solely for the information and use of the specified parties referred to in the first paragraph of this report, and is not intended to be and should not be used by anyone other than these specified parties. Chicago, Illinois February 26, 2021 {5}------------------------------------------------ | SIPC-7
(36-RC4 12/18) | SECURITIES INVESTOR PROTECTION CORPORATION
P.O. Box 92185 Washington, O.C. 20090-2185
202-371-8800
General Assessment Reconciliation
For the fiscal year ended 12/31/2020 | | SIPT.
(36-REV 12/18 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|------------------------| | | I Read casefully the oussions in your Working Copy belore completing this Form | | | | | TO BE FILED BY ALL SIPC MEMBERS WITH FISCAL YEAR ENDINGS | | | | 1. Name of Member, address, Designation Authority, 1994 Act registration no. and month in which tiscal year ends for
purposes of the audi requirement 01 SEC Rule 17a-5: | | | | | | | | U | | 53580 FINRA DEC
HIGHTOWER SECURITIES, LLC | | Nole: If any of the intormation shown on the
mailing labol requires correction, please e-mail
any Dorrections to form@sipcorg and so | 5
ಲ್ಲಾ | | 200 W. MADISON STREET. SUITE 2600
CHICAGO, IL 60606 3497 | | ind rate on the form liled.
Name and telephone number of nerson lo | ORKIN | | SEC FILE NO 8-58580 | | contact respecting this form
MATT KARL, 312-962-3821 | 14 | | | | | | | 2. A. General Assessment (ilem 2c Itom page 2) | | 58,433 | | | B. Less payment made with SiPG-6 liled (exclude interest)
7/23/2020 | | 12.927 | | | Dale Paid | | | | | 6. Less prior overpayment applied | | | | | D. Assessment batance due or (overpayment) | | 5,506 | | | E. Interest compuled on lale payment (see instruction E) lor _________________________________________________________________________________________________________________ | | | | | Tolal assessment balance and interest due (or overpayment carried lordard) | | 5,505 | | | G. PAYMENT: V the box
Check mailed to P.G. Box Funds Wired V
Total (musl be same as F above) | | | | | H. Overpayment carried lorward | | | | | 3. Subsidiaties (S) and predecessors (P) included in this form (give name and 1934 Act enjstration number). | | | | | The SIPC member submitting this form and the
person by whom it is executed represent thereby
that all information contained herein is true, correca | | HIGHTOWER SECURITIES, LLC | | | and complete. | | (None of Corporation) Partnership or other erganization) | | | | | (Asthorized Signature) | | | Dated the 5 day of FEBRUARY | FINOP | | | | This form and the assess.com payment is due 60 the tiscal year, Retain the Working Gopy of this form
for a beriod of not less than 6 years, the latest 2 years in an easily accessible place. | | (1160) | | | REVIEWER
Qales:
Postmarked
Received
Galculations _ | Reviewed
Uocumentalion ________________________________________________________________________________________________________________________________________________________________ | | Forward Copy _ | | Lxceptions:
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