Full text of R.J. O'BRIEN SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). 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, 2020 {1}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ... ... . 12.00 | SEC FILE NUMBER | | |-----------------|--| | 8-67587 | | 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 PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | | |---------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------|----------------------------------|--| | | MM/JD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: R. J. O'Brien Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | OFFICIAL USE ONLY | | | | | | | FIRM I.D. No. | | | 222 South Riverside Plaza, Suite 1200 | | | | | | | (No. and Sireet) | | | | | Chicago | IL | | 60806 | | | (Ciry) | 15151 | | (Zip Cade) | | | Edward Kelley (219) 628-0727<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report®<br>Ryan & Juraska, LLP | B. ACCOUNTANT IDENTIFICATION | | (Area Cucc<br>I stephone Number) | | | | (Name - If ondividual, state hert, first, associolo name) | | | | | 141 West Jackson Blvd, Suite 2250 Chicago | | 11 | 60604 | | | (Address) | ((113) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | 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 connect by the opinion of un independent public accountant must be supported by a statement of facts on as the basis for the exemption. Soction 240.17-25(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 OMB control number. SEC 1410 (11-05) {2}------------------------------------------------ #### OATH OR AFFIRMATION | Edward Keiley | | swear (or affir…Read the full text as markdown