Full text of FIRST CHICAGO ADVISORS, INC.'s X-17A-5 filed 2024-03-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE OMB APPROVAL OMB Number: 3235·0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67528 Information Required Pursuant to Rules 17a-5, 17a· 12, and 18a-7 und er the Securit ies Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING Q1 /01 /23 MM/DD/YY AND ENDING 12/31 /23 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME oF FIRM: First Chicago Advisors, Inc. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer 0 Security-based swap dealer 0 Check here if respo,ndent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 32 Otis Road {No. and Street) Barrington IL 60010 (City) (State) (Zip Code} PERSON TO CONTACT WITH REGARD TO THIS FILING Steven Knoop 312 739 0100 sknoop@firstchicagoadvisors.com (Name) (Area Code - Telephone Number) (Email Address} B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Mercurius & Associates LLP {Name - if individual, state last, first, and middle name) A-94/8, Wazirpur Industrial Area New Delhi India 110052 (Address) (City) (State) (Zip Code) 02/10/2009 3223 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable FOR OFFICIAL USE ONLY • Claims for exemption from the requirement that the annual reports be covered by the repons 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 collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION I, Steven Knoop swear (or affirm) that, to the best of my knowledge and belief, the financial re po rt pertaining to the firm of First Chicago Advisors, Inc. as of \_1\_2\_/\_3\_1 \_ \_\_\_\_\_\_\_\_ \_, 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.  | Title: | | |----…Read the full text as markdown