Full text of PARKMAN WHALING 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}------------------------------------------------ **UNITED** OMB APPROVAL **STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART III** | OMB Number: 3235-0123 | | | |---------------------------|--|--| | Expires: Oct.31,2023 | | | | Estimated average burden | | | | hours per response:<br>12 | | | | SEC FILE NUMBER | | |-----------------|--| | 8-67723 | | **FACING PAGE Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of <sup>1934</sup>** <sup>01</sup>/01/2021 12/31/2021 FILING FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Parkman Whaling Secuirities LLC TYPE OF REGISTRANT (check all applicable boxes): B Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) 600 Travis Street, Suite 600 (No. and Street) Houston TX 77002 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Thomas Hensley 713-333-8400 thensley@parkmanwhaling.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Harper & Pearson Company, P.C. (Name-if individual, state last,first,and middle name) One Riverway. STE 1900 (Address) 10/14/2003 Houston TX 77056 (City) (State) (Zip Code) 431 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number,if applicable) **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that theannual reports be covered by the reports of anindependent 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)(l)(ii),if applicable. **Persons whoare to respond to the collection of informationcontained in this form are not required to respond unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** *lf* Thomas Hensley that, to the best of my knowledge and belief, the ecurities LLC ; as <sup>0</sup>f financial report pertaining to the firm of December 31 , <sup>2</sup> <sup>021</sup> ,is true and correct. <sup>I</sup> further swear (or affirm) that neither the company nor any partner,officer, director,or equivalent person,as the case…Read the full text as markdown