Full text of WR SECURITIES, LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Statement of Financial Condition** **December 31, 2021** {1}------------------------------------------------ # Wolfe Research Securities # TABLE OF CONTENTS December 31, 2021 # 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}------------------------------------------------ | | SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--------------|--|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | | | | | | | PART III | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING 12/31/2021 | | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Wolfe Research Securities | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer _ _ _ Security-based swap dealer _ _ Major security-based 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.) | | | | | | | | 757 Third Ave, Sixth Floor | | | | | | | | | (No. and Street) | | | | | | | New York | NY | | 10017 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Thomas Gang | TGang@wolferesearch.com | | | 646-845-0709 | |…Read the full text as markdown