Full text of WALLER HELMS SECURITIES LLC's X-17A-5 filed 2020-08-28 (period 2020-06-30). 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, 2020 **Filed as a Public Document Pursuant to Rule 17a-5(d) of the Securities Exchange Act of 1934** **\*\*\* PUBLIC DOCUMENT \*\*\*** {1}------------------------------------------------ # **TABLE OF CONTENTS** | | Page | |---------------------------------------------------------|-------| | LETTER OF OATH OR AFFIRMATION | 1 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 2 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 3 | | Notes to the Financial Statement | 4 - 6 | {2}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL 3235-0123 OMB Number: Expires: August 31, 2020 Estimated average burden hours per response .. . . . . . 12.00 | 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 | | AND ENDING 06/30/20<br>REPORT FOR THE PERIOD BEGINNING 07/01/19 | | | | |-------------------------------------------------------------------|--------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------| | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: WALLER HELMS SECURITIES LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 205 W. WACKER DRIVE. SUITE 2000 | | | | | | | (No. and Street) | | | | | CHICAGO | = | | 60606 | | | (City) | (State) | | (Zip Code) | | ROBERT CAMBELL | 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 resi…Read the full text as markdown