Full text of FIRST CHICAGO ADVISORS, INC.'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}------------------------------------------------ PUBLIC UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | Estimated average burden | |---------------------------| | hours oer response 12.00 | | | | | | SEC FILE NUMBER | a-67528 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 FACING PAGE Informati()n Required ()f 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 /19 | | 12/31 /19<br>AND ENDING ~~~~~~~~~~~ | | | | | |--------------------------------------------------------------------------------------------------------|----------------------------------------------------------|-------------------------------------|--------------------------------|--|--|--| | | MM/00/YY | | MMfDD/YY | | | | | | A. REGISTRANT IDENTJF | ICA TION | | | | | | NAME OF BROKER-DEALER: First Chicago Advisors, Inc. | | OFFICIAL USE ONLY | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSfNESS: (Do not use P.O. Box No.)<br>32 Otis Road | | | FIRM l.D. NO. | | | | | | (No. and Street) | | | | | | | Barrington | IL | | 60010 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Steven Knoop (312) 739 0100 | | | | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>Marvin M. Siegel CPA, PC | | | | | | | | | (Name - if i11divid11al, stale last, first, middle name) | | | | | | | 3330 Old Glenview Road | Wilmette | IL | 60091 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE: | | | | | | | | IV' I<br>Certified Public Accountant | | | | | | | | O<br>Public Accountant | | | | | | | | Accountant not resident in United States or any of its possessions.<br>D | | | | | | | | | 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 relied on as the basis/or the exemption. See Section 240. l 7a-5(e)(2)* SEC 1410 (11-05) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currentlyvallld OMB contro…Read the full text as markdown