Full text of WALLER HELMS SECURITIES LLC's X-17A-5 filed 2019-09-06 (period 2019-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Waller Helms Securities LLC** Financial Statement and Report of Independent Registered Public Accounting Firm June 30, 2019 **Filed as a Public Document Pursuant to Rule 17a-5(d) of the Securities Exchange Act of 1934** **\*\*\* PUBLIC DOCUMENT \*\*\*** {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL AUDITED REPORT | | | | | |-----------------------|--|--|--|--| | FORM X-17A-5 | | | | | | PART III | | | | | | OMB APPROVAL | | |--------------------------|-----------------| | OMB Number: | 3235-0173 | | Expires: | August 31, 2020 | | Estimated average burden | | | hours per response | | | SEC FILE NUMBER | | |-----------------|--| | 8-69713 | | ## 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 07/01/18<br>AND ENDING U6/30/19 | | | |-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------|-------------------|--------------------------------| | | MM/D/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: WALLER HELMS SECURITIES LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | OFFICIAL USE ONLY | | | | | | FIRMI.D. NO. | | 205 W. WACKER DRIVE, SUITE 2000 | | | | | | (No. and Street) | | | | CHICAGO | IL | | 60606 | | (City) | (State) | | (Zip Code) | | ROBERT CAMPBELL | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | (973) 727-7379 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | DEMARCO SCIACCOTTA WILKENS & DUNLEAVY, LLP | | | | | (Name - if individual, state last, first, middle name) | | | | | 9645 LINCOLNWAY LN #214A FRANKFORT | | 60423 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | 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 stateme…Read the full text as markdown