Full text of R.J. O'BRIEN SECURITIES, LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | | | |---------------------------|--|--| | OMB Number: 3235-0123 | | | | Expires: Oct. 31. 2023 | | | | Estimated average burden | | | | hours per response:<br>12 | | | | | | | SEC FILE NUMBER 8-67587 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 01/01/22 AND ENDING 12/31/22 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): Z Broker-dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant 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 Keilev | (219) 629-0727 | | | |---------------|--------------------------------|-----------------|--| | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | ### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ryan & Juraska, LLP (Name - if individual, state last, first, and middle name) 141 West Jackson Blvd., Suite 2250 Chicago IL 60604 (Address) (City) (State) (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 reports 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-5(e)(1)(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. {2}------------------------------------------------ #### OATH OR AFFIRMATION I. Edward Keiley swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of R. J. O'Brien Securities, LLC…Read the full text as markdown