Full text of WOLVERINE EXECUTION SERVICES, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Report Pursuant to SEC Rule 17 a-5 and Report of Independent Registered Public ~Accounting Firm # olverine Execution Services, LLC (An Illinois Limited Liability Company) December 31, 2021 Filed as public pursuant to Rule 17a-5(d) under the Securities Exchange .. -\ct of 1934. {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | ## ANNUAL REPORTS FORM X-17A-5 PART Ill | OMB APPROVAL | |---------------------------| | OMB Number: 3235·0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | | | SEC FILE NUMBER | |---------|-----------------| | 8-65336 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING di I lllltffi<br>AND ENDING \2_/ o\/ 'lcfl-\<br>MM/ D/YY<br>MM/DD/YY | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | A. REGISTRANT IDENTIFICATION | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0' Broker-dealer<br>D Security-based swap dealer<br>D Major security-based swap participant<br>0 Check here if respondent is also an OTC derivatives dealer | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | c<br>b\ v<br>\15 V\J J<br>tt--=--->o<:;jz&'-=-:f-ri==--------<br>~so Yl<br>CA<br>cLS~v\'-4--'\<br>(No. and Street) | | \L<br>(State)<br>(City)<br>(Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | B. ACCOUNTANT IDENTIFICATION | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | (Name- if individual, state last, first, and middle name) | | \L<br>(o}Z) (o ,0Co<br>~h\tQQ\0 | | J (State)<br>{Zip Code) | | __<br>______<br>".q I 2-L\ I 2 rdJi.3,___<br>_<br>____,q___._q | | I<br>(rte of Registration \Atth PCAO B )(if applicable) FOR OFFICIAL USE ONly<br>( 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 circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the co…Read the full text as markdown