Full text of HIGHTOWER SECURITIES, LLC's X-17A-5 filed 2024-02-20 (period 2023-12-31). 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, 2023 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(3)(3) Under the Securities Exchange Act of 1934. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: ## **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 008-53560 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|---------|-----------------------------|--| | | 01/01/23 | | 12/31/23 | | | FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________ | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | Hightower<br>NAME OF FIRM: _______________________________________________________________________ | Securities,<br>LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>܆<br>Broker-dealer<br>Security-based swap dealer<br>Major security-based swap participant<br>■<br>܆ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 200<br>W.<br>Madison<br>Street,<br>_____________________________________________________________________________________ | Suite<br>2500 | | | | | | (No. and Street) | | | | | Chicago<br>_____________________________________________________________________________________ | Illinois | | 60606 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Matt<br>Karl<br>_____________________________________________________________________________________ | 312-962-3821 | | mkarl@hightoweradvisors.com | | | (Name) | (Area Code – Telephone N…Read the full text as markdown