Full text of WHITAKER SECURITIES LLC's X-17A-5 filed 2021-03-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## STATEMENT OF FINANCIAL CONDITION AND SUPPLEMENTARY INFORMATION DECEMBER 31, 2020 PUBLIC {1}------------------------------------------------ | | UNITEDSTATES | | 0MB APPROVAL | | |-------------------------------------------------|----------------------------------------------------------------------------|---------|------------------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number:<br>3235-0123 | | | | Washington, D.C. 20549 | | Expires:<br>October 31, 2023 | | | | | | Estimated average burden<br>hours oerresoonse 12.00 | | | | ANNUAL AUDITED REPORT | | | | | | FORM X-17A-5 | | SEC FILE NUMBER | | | | PARTIII | | 8-65419 | | | | 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 January 1, 2020 | | | AND ENDING December 31, 2020 | | | | MM/DDIYY | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | WHITAKER SECURITIES, LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF 13USINESS: (Do nut use P.O. Box No.) | | FIRM I.D. NO. | | | 233 BROADWAY, SUITE 1700 | | | | | | | (No. and Slrccl) | | | | | NEW YORK | NY | | 10279 | | | (Cily) | (Stale) | | {Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | THOMAS E. O'NEILL | | | 646,723.6239 | | | | | | (Aroa Code - Tckphonc Number) | | | | B. ACCOUNT ANT lDENTIFICA TION | | | | | | INDEPENDENT PUl3L,JC ACCOUNTANT whose opinion is contained in this Report* | | | | | Berkower LLC | | | | | | | (Name - if i11di1·id11crl, suite /a,1, f/1'.II, middle 11a111c) | | | | | 517 Route One | lselin | NJ | 08830 | | | (Address) | | | (Zip Code) | | | | (City) | {Srnte) | | | | CHECK ONE: | | | | | | I/<br>jcertificd Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United 'states or any of ics possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *•Claims/or exemplionfrom the requirement that the annual report he covered by the opinion of an independent public acco1111/ont must be supported by a statement of facts and circ11111sla11ces relied* 011 *as the basis.for the exemption See Section 2-/0, I 7a-5(e){2)* > Potential persons who are to respond to the collection of Information contained In this form are n…Read the full text as markdown