Full text of PARKMAN WHALING SECURITIES LLC's X-17A-5 filed 2024-02-23 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington,<br>D.C. | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30,<br>2026 | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------|--------------------------------------------------------------------|-----------------------------|--|--| | 20549 | | Estimated average burden<br>hours per response:<br>12 | | | | | ANNUAL<br>REPORTS | | SEC FILE NUMBER | | | | | X-17A-5<br>FORM | | 8-67723 | | | | | | PARTIN | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5,<br>17a-12,<br>and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | 01/01/2023<br>FILING FOR THE PERIOD BEGINNING<br>AND ENDING<br>MM/DD/YY | | 12/31/2023<br>MM/DD/YY | | | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | | | | | | | | | Parkman<br>NAME OF FIRM.<br>: | Whaling | Securities<br>LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>B<br>Broker-dealer<br>Security-based swap dealer<br>Major security-based<br>swap participant<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.) | | | | | Travis<br>600<br>Street, | Suite<br>600 | | | | | | | (No. and Street) | | | | | | Houston | | TX | 77002 | | | | (City) | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Thomas<br>Hensley | 713-333-8400 | | thensley@parkmanwhaling.com | | | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in<br>this filing*<br>EEPB<br>Company | | | | | | | (Name -if<br>individual,<br>state last,first,and<br>middle name) | | | | | | | 2950<br>North<br>Loop<br>Suite<br>West, | Houston<br>1200 | TX | 77092 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 11/05/2003 | | 879 | | | | | (PCAOB Registration Number,if<br>(Date of Registration with PCAOB)(if applicable)<br>applicable) | | | | | | | | FOR OFFICIAL USE ONLY | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement of fac…Read the full text as markdown