Full text of PARKMAN WHALING 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}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington,D.C. 20549** # **ANNUAL AUDITED** hours per response 12.00 **REPORT FORM X-17A-5 PART III** | Expires: | October 31, 2023 | |----------|--------------------------| | | Estimated average burden | | | | | | | | | SEC FILE NUMBER | <sup>e</sup>-67723 OMB APPROVAL OMB Number: 3235-0123 **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | Securities | Exchange<br>Act<br>of<br>1934<br>and Rule | 17a-5<br>Thereunder | | | |---------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|---------------------|-------------------------------|--| | REPORT FOR THE PERIOD BEGINNING 01/01/2020<br>AND ENDING 12/31/2020 | | | | | | | MM/DD/YY | | MM/DD/YY | | | | REGISTRANT<br>A.<br>IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Parkman | Whaling<br>Securities | LLC | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 600<br>Travis<br>Street<br>, | Suite<br>600 | | | | | | ( No. and Street) | | | | | Houston | TX | 77002 | | | | (City ) | (State) | (Zip Code) | | | | Thomas Hensley | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 713-333-8400 | | | | | | (Area Code -Telephone Number) | | | | B.<br>ACCOUNTANT<br>IDENTIFICATION | | | | | | | | | | | Harper<br>&<br>Pearson | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Company<br>C<br>P<br>, | | | | | | (Name -if individual, state last, first, middle name ) | | | | | One<br>Riverway<br>, | STE<br>1900<br>Houston | TX | 77056 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | /<br>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 annual report be covered by the opinion of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17<sup>a</sup>-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form…Read the full text as markdown