Full text of BROADHAVEN SECURITIES LLC's X-17A-5 filed 2022-02-22 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2.0549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |--|-----------------| | | | 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 | __<br>::0;:.1::10'""1/:.:2=02=-1,___ | __ AND ENDING ___ | __<br>_<br>1_21_3_1/_2_02_1 | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: BROADHAVEN SECURITIES, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Qt Broker-dealer<br>0 Check here lf respondent Is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 150 NORTH RIVERSIDE PLAZA | | | | | | (No. and Street) | | | | CHICAGO | IL | | 60606 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | MEGHAN LOCKWOOD | 212-418-1259 | | meg.lockwood@broadhaven.com | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>TOPEL FORMAN, L.L.C. | | | | | | (Name - if individual, state last, first, and middle name) | | | | 500 IN MICHIGAN AVE | CHICAGO | IL | 60611 | | (Address) | (City) | (State) | (Zip Code) | | 07/27/2010 | | 5181 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | accountant must be supported by a statement of facts and clrcumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. 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. {1}------------------------------------------------ #### OATH OR AFFIRMATION 1, GREGORY PHILLIPS swear (or affirm) that, to the…Read the full text as markdown