Full text of BROADHAVEN SECURITIES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours r res nse ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | B-68862 | 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 01/01/2020 | | ----------<br>AND ENDING 12/31/2020 | | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------------------------|--------------------------------| | | MM/DD/VY | | MM/DD/VY | | | 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.)<br>150 N RIVERSIDE PLAZA, 25TH FLOOR | | | FIRM 1.0. NO. | | | | | | | 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. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | TOPEL FORMAN, L.L.C. | | | | | | (Name - if Individual. state last, first, middle name) | | | | 500 N MICHIGAN AVE | CHICAGO | IL | 60611 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I I I<br>certified Public Accountant | | | | | Public Accountant | | | | | Accountant 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)* **Potentlal persons who are to respond to the collectlon of Information contained** In **this form are not required to respond unless the form dlsplays a currently valld 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | _____________________<br>I, _G_R_E_G_O_R_Y_P_H_IL_L_IP_S | , s…Read the full text as markdown