Full text of WALLER HELMS SECURITIES LLC's X-17A-5 filed 2021-08-27 (period 2021-06-30). 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, 2021 **Filed as a Public Document Pursuant to Rule 17a-S(d) of the Securities Exchange Act of 1934** \*\*\* **PUBLIC DOCUMENT\*\*\*** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oerresoonse ...... 12.00 | SEC FILE NUMBER | |-----------------| | 8-69713 | **FAClNG PAGE** Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchang~ Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNJNG 07/01 /20 | | | ----<br>----<br>AND ENDING 06/30/21<br>--<br>-<br>MM/00/YY | | |---------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|------------|------------------------------------------------------------|--| | | MM/DONY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: WALLER HELMS SECURITIES LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSlNESS: (Do not ~se P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM 1.0. NO. | | | | | | | | | 205 W. WACKER DRIVE, SUITE 2000 | | | | | | | (No: and Street)<br> | | | | | CHICAG0 | IL | | 60606 | | | (City) | (Slate) | (Zip Code) | | | | INDEPENDENT PUBUC ACCOUNTANT whose opinion is contained in this Report•<br>DEMARCO SCIACCOTTA WILKENS & WILKENS & DUNLEAVY, LLP | B. ACCOUNTANT IDENTIFICATION | | (Area Code-Telephone Number) | | | | (Name - if individual. s/ale las1.jirsl, middle name) | | | | | | 9645 LINCOLNWAY LN #214A FRANKFORT | IL | 60423 | | | | | | | | | (Address) | (City) | (Stale) | (Zip Code) | | *\*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/acts and circumstances relied on as the basis/or 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 unleaathe form displays a currently valid 0MB control number.** SEC 1410 (11 -05) {2}------------------------------------------------ #### **TABLE OF CONTENTS** | | Pag…Read the full text as markdown