Full text of MCDERMOTT INVESTMENT SERVICES, LLC's X-17A-5 filed 2022-03-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **PUBLIC** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART Ill** | 0MB APPROVAL | | | | |---------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | SEC FILE NUMBER 8-68683 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING __ Ol_/_Ol_/2_02_1 _____ AND ENDING __ 12__/3_1/_20_2_1 ____ | | | | _ | | | | |-------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|-----------------|-------------------------------------------|--|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | | | | | McDermott<br>NAME OF FIRM: | Investment Services, LLC | | | | | | | | TYPE OF REGISTRANT (check all | applicable boxes): | | | | | | | | □<br>□<br>IXl Broker-dealer<br>Security-based swap dealer<br>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.) | | | | | | | | | 44 East Broad Street, Suite 216 | | | | | | | | | | (No. and Street) | | | | | | | | Bethlehem | PA | | | 18018 | | | | | (City) | | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Jeffrey Harpel | 717<br>-249<br>-8803 | | | jharpel@mcdermottadvisors.com | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Morey, Nee, Buck & Oswald, LLC | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 2571 Baglos Circle, Suite B20 | Bethlehem | PA | | 18020 | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | | 08/09/2011 | | | 5 510 | | | | | | | | | | (PCAOB Reg;stcafoo N ,mbec, ;f appUcable) | | | | | | FOR OFFICIAL USE ONLY | | | I | | | | \* 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…Read the full text as markdown