Full text of WOLVERINE EXECUTION SERVICES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). 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, 2020 Filed as public pursuant to Rule 17a-S(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ UNITED STATES SEClJRITI.ESANDEXCH.ANGECOMJ\.USSlON \Vashington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill OMB APPROVAL OMB Number: 3235-0123 Expires: October 31,2023 Estimated average burden hours per response ...... i 2.00 | SEC FILE NUMBER | | | | |-----------------|--|--|--| | 8-65336 | | | | # FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l7a-5 Thereunder | | | REPORT FOR TI-lE PERIOD BEGINNING_01!_0!!20~·--·----·-AND ENDING_~~!3~~E_?~-----·---- - | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTHANT 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. | | ---------·------<br>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>---··-··-"--·-·-·-- - ,_ -- ,_O_O ______ , __________ ,.,_,, __ , ___ o0oo0 ._ ____ _ _, _______ , ____ , ________ , ___ ., __ ,,_ _, -<br>Judy Kula | | | 312-884-3724<br>0000-000--H-0_ _ 00 0_0 ____ 00--M-0_0 _. .-_ _ _ , ,_ 0000-- | | | | | (Area Code- Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBL.IC ACCOUNTANT whose opin.ion is contained in this Report* | | | | | RSM US LLP | | | | | | (Name- (lindil•idual, state last. first, middle name) | | | | 30 S Wacker, Suite 3300 | Chicago | Illinois | 60606 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | l.…Read the full text as markdown