Full text of FIRST CHICAGO ADVISORS, INC.'s X-17A-5 filed 2021-03-29 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC U ITEDSTATES SECURJTI ES AND EXCHANGE COMMISSION Washington, O.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll** OMBAPPROVAL OMB Number: 3235·0123 Expires: October 31, 2023 Estimated average burden hours per response ... ... 12.00 | SEC FILE NUMBER - | |-------------------| | 8-67528 | f?ACING PAGE lnforma tio11 Required of Brokers and Deale rs P ursuant to Section 17 of the Securities Exchange Act of 1934 and R ule l 7a-5 T hereunder | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | AND E1 DING 12/31/20<br>~~~~~~ | | | |--------------------------------------------------------------------------------------------|------------------------------------------------------------------------|--------------------------------|------------------------------------|--| | | MM/ODfYY | | ~~~-<br>MM/DD/YY | | | | A. REGISTRANT lDENT | lFICATION | | | | NAME OF BROKER-DEALER: First Chicago Adivisors, Inc. | | | OFFICIAL USE ONLY<br>FIRM 1.D. NO. | | | ADORE S OF PRI ClPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>32 Otis Road | | | | | | | (No. and Slrcct) | | | | | Barrington | IL | | 60010 | | | (C11y) | (State) | | (Zip Code) | | | NAME AND TELEPHO E NUMBER OF PERSON TO CONTACT I<br>Steven Knoop (312) 739 0100 | | REGARD TO THIS REPORT | (Area Code-Telephone Number) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | I 'DEPE DENT PUBLIC ACCOUNTA T whose opinion is contained in this Report•<br>AJSH & Co LLP | | | | | | | (Name - if 111d11'1d1w/, state lost, first, middle name) | | | | | C-7/227, Sector-7 | Rohini, New Delhi-10085 | India | | | | (Address) | (City) | (Stale) | (Zip Code) | | | | | | | | | O<br>certified Public Accountant | | | | | | D<br>Public Accountant | | | | | | C HECK ONE: | [{]Accountant not resident in United States or any of its possessions. | | | | *•ct aims for exemption from the requirement that the annual report be covered by the opinion of an independen1 public acco1111ta111 must be supported by a statemem of facts and circumstances relied on as the bas* if *for the exemption See Section 2./0.* f *7a-5(e){2)* > Potential persons who are to respond to the collectlon of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | my knowledge and belief the accompanying financial statement and s…Read the full text as markdown