Full text of WALLER HELMS SECURITIES LLC's X-17A-5 filed 2022-08-30 (period 2022-06-30). 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, 2022 **Filed as a Public Document Pursuant to Rule 17a-5(d) of the Securities Exchange Act of 1934** **\*\*\* PUBLIC DOCUMENT \*\*\*** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17 A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-l2, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07/01 /21** MM/DD/VY MM/OD/YY **A. REGISTRANT IDENTIFICATION** ## NAME OF FIRM: WALLER HELMS SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer 0 Major security-based swap participant AND ENDING **06/30/22** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 225 W. WACKER DRIVE, SUITE 500 | | (No, and Street) | | | | | | |------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|-----------------|-------------------------------|--|--|--| | CHICAGO | IL | | 60606 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | ROBERT CAMPBELL (973) 727-7379 | | | robert.campbell@acaglobal,com | | | | | (Name) | {Area Code- Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>DEMARCO SCIACCOTTA WILKENS & WILKENS & DUNLEAVY<br>LLP<br>1 | | | | | | | | {Name - if individual, state last, first, and middle name) | | | | | | | | 20646 ABBEY WOODS CT. N - SUITE 201 | FRANKFORT | IL | 60423 | | | | | (Addrass) | (Citv) | (State) | (Zip Code) | | | | | r•<br>12/21/2021 | | 5376 | | | | | | of Re~str,Uoo ""th PCAOB)(;f ,pellcableJ | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240…Read the full text as markdown