Full text of E.K. WALLACE SECURITIES LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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-17 A-5** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **PART Ill** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | 0 MB Number: 3235-0123 | | | |--------------------------|--|--| | Expires: Nov. 30, 2026 | | | | Estimated average burden | | | | hours per response: 12 | | | | | | | SEC FILE NUMBER # FILING FOR THE PERIOD BEGINNING **O 1/01 /23** MM/DD/VY AND ENDING **12/3 1 / <sup>2</sup> <sup>3</sup>** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: E.K. WALLACE SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer (No. and Street) (City) (State) (Zip Code) **B. ACCOUNTANT IDENTIFICATION** (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 **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.** 8-67987 ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ### 25 West 13th Street, Apt. 1 AN | 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 * | | | | | | RUBIO CPA, PC {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, EVERETT K. WALLACE swear (or affirm) that, to the best of my…Read the full text as markdown