Full text of WOLVERINE EXECUTION SERVICES, LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Report Pursuant to SEC Rule 17a-5 and Report of Independent Registered Public Accounting Firm # Wolverine Execution Services, LLC (An Illinois Limited Liability Company) December 31, 2019 Filed as public pursuant to Rule 17a-5( d) under the Secw:ities Exchange Act of 1934. {1}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill OMS APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 | SEC FILE NUMBER | | | | |-----------------|--|--|--| | a-65336 | | | | 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 BEGINNING 01/01/2019 | | AND ENDING 12/31/2019 | | | | |--------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------|----------------------------------|--|--| | | MMIDDIYY | | --------------------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME oF BROKER-DEALER: Wolverine Execution Services, LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 175 W Jackson Boulevard, Suite 200 | | | | | | | | (No. and Street) | | | | | | Chicago | Illinois | | 60604 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Judy Kula | | | | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | RSM US LLP | | | | | | | | (Name- if individual, state last, first, middle name) | | | | | | 1 S Wacker Drive Suite 800 | Chicago | Illinois | 60606 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | I<br>vflcertified Public Accountant | | | | | | | Public Accountant | | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances r…Read the full text as markdown