Full text of PARKMAN WHALING SECURITIES LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | 8-67723 | | #### **FACING PAGE** | FILING FOR THE PERIOD BEGINNING | 1/01/2022 | AND ENDING | 12/31/2022 | | |--------------------------------------------------------------------------------|------------------------------------------------|---------------------|-----------------|--------------------------------------------| | | °<br>MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | Parkman<br>Whaling<br>of<br>firm:<br>name | Securities<br>LLC | | | | | TYPE OF REGISTRANT (check all applicable | boxes): | | | | | XI Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer<br>Major | security-based swap | | participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 600<br>Travis<br>Street,<br>Suite<br>600 | | | | | | | (No. and Street) | | | | | Houston | TX | | | 77002 | | (City) | (State) | | | (ZipCode) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Thomas<br>Hensley | 713-333-8400 | | | thensley@parkmanwhaling.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports | are contained in | this<br>filing* | | | | &<br>Pearson<br>Company,<br>Harper | P.C. | | | | | | individual, state ast, first, and middle name) | | | | | | | | IX | | | (Name-if | | | | 77056 | | Riverway,<br>One<br>STE<br>1900<br>(Address) | Houston | | | | | 10/14/2003 | (City) | | (State)<br>431 | (ZipCode) | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and ciicumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of information containedinthis form are not required to respond unless the form displays <sup>a</sup> currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, | Thomas<br>Hensley<br>swear (or affirm) that,<br>to<br>the best of my knowledge and<br>belief, the | |-----|--…Read the full text as markdown