Full text of WALLER CAPITAL SECURITIES LLC's X-17A-5 filed 2019-01-22 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSJON Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 > SEC FILE NUMBER 8-66039 #### **ANNUAL AUDITED REPORT FORM X-17A-S PARTID** #### **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 PERJOD BEGINNING -----=0'"'"'l/~0=l/-'-1 ~8 | | __<br>AND ENDING | 12/31<br>/<br>18 | |--------------------------------------------------------------------------|--------------------------------------------------------|------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER -<br>DEALER: | | | | | Waller Capital Securities, LLC | | | OFFICIAL USE ONLY | | | | | FIRMID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 1 Rockefeller Plaza Ste 2322 | | | | | (No. and Street) | | | | | New York NY 10020 | | | | | (City)<br>(State) | | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Kenneth R. George | | | (603) 380-5435 | | | | | (Area Code -<br>Telephone No.) | | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Michael T. Remus CPA | | | | | | (Name - if individual, state last, ftrst, middle name) | | | | PO Box 2555, Hamilton Square, NJ 08690 | | | | | (Address)<br>(City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | [!} Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | *•ctaimsfor exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a slatement of facts and circumstances relied on as /he basis for the exemplion. See sec/ion 240.17a-5(e)(2).* SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Kenneth George, swear ( or affirm) that, to the best of my knowledge and belief the accompanying financial statements and supporting schedules pertaining to the firm of Waller Capital Securities, LLC, as of December 31 , 2018, are true and correct. I further swear ( or…Read the full text as markdown