Full text of HIGHTOWER SECURITIES, LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). 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, 2021 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 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 | UMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | 01/01/2021<br>FILING FOR THE PERIOD BEGINNING<br>AND ENDING<br>MM/DD/YY | | | 12/31/2021 | | |------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------|--|-----------------|--------------------------------------------| | | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | Hightower Securities, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>IX Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 200 W. Madison Street, Suite 2500 | | | | | | | (No. and Street) | | | | | Chicago | Illinois | | | 60606 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Matt Karl | 312-962-3821 | | | mkarl@hightoweradvisors.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 200 E Randolph St. | Chicago | | Illinois | 60601 | | (Address) | (City) | | (State) | (Zip Code) | | 10/20/2003 | | | 185 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registrat…Read the full text as markdown