Full text of E.K. WALLACE SECURITIES LLC's X-17A-5 filed 2023-02-21 (period 2022-12-31). 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 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART Ill** 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 **01 /01 /22** AND ENDING **12/3 1** /22 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: E.K. WALLACE SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): ~ 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 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 | | | | RUBIO CPA, PC | (Name - if individual, state last, first, and middle name) | | | | 3500 Lenox Road NE, Suite 1500 Atlanta | | GA | 30326 | | (Address) | (City) | (State) | (Zip Code) | | 5/5/09 | | 3514 | I | | rte of Reg;stcaUoo w;th PCAOB)l;f appUcable) | | | (PCAOB Reg;stcaUoo N"mbec, ;fa ppUcable) | | | 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 a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, EVERETT K. WALLACE swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of E.K. WALLACE SECURITIES LLC…Read the full text as markdown