Full text of E.K. WALLACE SECURITIES LLC's X-17A-5 filed 2022-02-08 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | SEC FILE NUMBER 8-67987 **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 1 /1 /21 | --------- | AND ENDING 12/31 /21 | | |------------------------------------------|-----------|----------------------|------------| | | MM/DD/YY | | MM/DD/ Y Y | **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: E.K. WALLACE SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 25 West 13th Street, Apt. 1 AN | | (No. and Street) | | | |--------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|------------------| | New York | NY | | 10011 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | EVERETT K. WALLACE | 212-965-1400 | | rett@ekwsllc.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RUBIO CPA, PC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 2727 Paces Ferry Rd SE, Suite 2-1680 Atlanta | | GA | 30339 | | (Address) | (City) | (State) | (Zip Code) | | |------------------------------------------------|------------------------|-----------------------------------------------|------------|--| | 5/5/09 | | 3514 | | | | l"<br>of Reglmatloo with PCAOBJ(lf applicable) | | I<br>)PCAOB Reglmatloo Nombec, If applicable) | | | | | FOR OFFICIAL USE ONL V | | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports…Read the full text as markdown