Full text of R.J. O'BRIEN SECURITIES, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | | SECTILE NUMBER | | | | | 8-67587 ## FORM X-17A-5 PART III #### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/21 | | AND ENDING 12/31/21 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: R. J. O'Brien Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[] Security-based swap dealer Major security-based swap participant<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 222 South Riverside Plaza, Suite 1200 | | | | | | | (No. and Street) | | | | | Chicago | 11 | | 60606 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Edward Keiley | (219) 629-0727 | | | | | (Name) | (Area Code = Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>Ryan & Juraska, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 141 West Jackson Blvd., Suite 2250 | Chicago | 11 | 60604 | | | (Address) | (City) | IState) | (Zip Code) | | | 3/24/2009 | | 3407 | | | | (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, eports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the pasis of the exemption. 5e…Read the full text as markdown