Full text of BROADHAVEN SECURITIES LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED Sf ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMS Number. 323S-o123 Expires: August 31, 2020 Estimated average burden hours per respOnse ...... 12.00 # ANNUAL AUDITED REPORT FORM X·17A-5 PART Ill | | SEC FILE NUMBER | |----|-----------------| | | | | 8- | | 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 01/01/2019 | | | AND ENDING 12/31/2019<br>---------------------<br>MM/DDNY | | |------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|-----------------------------------------------------------|--| | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: BROADHAVEN SECURITIES, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 150 N RIVERSIDE PLAZA, 25TH FLOOR | | | | | | CHICAGO | (No. and Street)<br>IL | | 60606 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Greg Phillips | | | (312)-621·9801 | | | | | | (Area Code- Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | TOPEL FORMAN, L.L.C. | | | | | | | (Name- if individual, state las·t, first, middle name) | | | | | 500 N MICHIGAN AVE | CHICAGO | IL | 60611 | | | (Address) | (City) | (Slate) | (Zip Code) | | | CHECK ONE: | | | | | | l/'lcertified Public Accountant | | | | | | OPublic Accountant | | | | | | DAccountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > Potential 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 OMB control number. SEC 1410 (11-05} {1}------------------------------------------------ # OATH OR AFFIRMATION | J, GREGORY PHILLIPS | • swear (o…Read the full text as markdown