Full text of PARKMAN WHALING SECURITIES LLC's X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESAND EXCHANGECOMMISSION Washington, D.C. <sup>20549</sup> # hours perresponse 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | OMB APPROVAL | | |--------------------------|--------------------| | 0MB<br>Number: | 3235-0123 | | Expires: | August 31,<br>2020 | | Estimated average burden | | | | | | | | s-67723 SEC FILE NUMBER FACING PAGE **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | MM/DD/YY<br>IDENTIFICATION<br>Whaling<br>Securities<br>not use P.O.<br>Box No.)<br>(No. and Street)<br>TX<br>(State)<br>PERSON TO CONTACT IN REGARD TO | AND ENDING<br>LLC<br>THIS REPORT | MM/DD/YY<br>OFFICIAL USE<br>ONLY<br>FIRM I.D.<br>NO.<br>77002<br>(Zip Code)<br>713-333-8400<br>(Area Code -<br>Telephone Number) | |--------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 77056 | | | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | USE<br>ONLY | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained<br>Houston<br>Accountant not resident in United States or any of its possessions.<br>OFFICIAL | IDENTIFICATION<br>in this Report*<br>individual, state last, first, middle name )<br>TX<br>report be covered<br>by<br>the<br>opinion<br>of<br>an independent | *must be supported by a statement offacts 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 informationcontained in this form are notrequired to respond** SEC **unless the form displays <sup>a</sup> currently valid OMB control number.** <sup>1410</sup> (06-02) {1}------------------------------------------------ ## **OATH OR AFFIRMATION** ## <sup>I</sup> Thomas Hensley my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Parkman Whaling Securities LLC **, swear (or affirm) t…Read the full text as markdown