Full text of WR SECURITIES, LLC's X-17A-5 filed 2021-03-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Statement of Financial Condition** **December 31, 2020** {1}------------------------------------------------ # Wolfe Research Securities # TABLE OF CONTENTS December 31, 2020 # ANNUAL AUDITED FOCUS REPORT FACING PAGE....................................................................................................................................... # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM....................................................................................................................... # FINANCIAL STATEMENT | Statement of Financial Condition . | | |------------------------------------|--| | Notes to the Financial Statement | | {2}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB APPROVAL | | | | | |--------------------------|--|---------------------------|--|--| | OMB Number: | | 3235-0123 | | | | | | Expires: October 31, 2023 | | | | Estimated average burden | | | | | | | | nours per response 12.00 | | | | SEC FILE NUMBER | |-----------------| | 8-68406 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | AND ENDING 12/31/20 | | | |-------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Wolfe Research Securities | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 757 Third Ave, Sixth floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Tom Gang | | | (646) 845- 0709 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Sanville & Company | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 1514 Old York Road | Abington | PA | 19001 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public…Read the full text as markdown