Full text of R.J. O'BRIEN SECURITIES, LLC'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}------------------------------------------------ ### **R.J. O'BRIEN SECURITIES, LLC** Report Pursuant to Rule 17a-5(d) Year Ended December 31, 2019 {1}------------------------------------------------ | | Washington, D.C. 20549<br>ANNUAL AUDITED REPORT | | August 31, 2020<br>Expires:<br>Estimated average burden<br>hours per response 12.00 | | |-------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|--------------------------------------------------------------------------------------|--| | | FORM X-17A-5<br>PART III | | SEC FILE NUMBER<br>8-67587 | | | | FACING PAGE<br>Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/2019 9<br>MM/DD/Y Y | | MM/DD/Y Y | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: R.J. O'Brien Securities LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 222 South Riverside Plaza, Suite 1200 | | | | | | | (No. and Street) | | | | | Chicago | IL<br>(State) | | 60606<br>(Zip Code) | | | Edward Keiley (219) 629-0727 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | (Area Code = Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report® | | | | | Moss Adams LLP | | | | | | | (Name - if individual, state last, first, middle name) | TX | 75254 | | | 14555 Dallas Parkway, Suite 300 Dallas<br>(Address) | (City) | (State) | (Zip Code) | | | | | | | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | 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 for the exemption. See Section 240.17a-5(e)(2) 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 currently valid O SEC 1410 (11-05) | UNITEDSTATES | | |…Read the full text as markdown