Full text of WALLER HELMS SECURITIES LLC's X-17A-5 filed 2024-09-18 (period 2024-06-30). 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, 2024 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 STATEMENT | | | Statement of Financial Condition | 3 | | Notes to the Financial Statement | 4 - 7 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hou # ANNUAL REPORTS FORM X-17A-5 PART III | ours bet response: | 12 | | |--------------------|----|--| | SEC FILE NUMBER | | | | 8-69713 | | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 07/01/23 07 201723 AND ENDING MM/DD/YY MM/DD/YY 06/30/24 A. REGISTRANT IDENTIFICATION # NAME OF FIRM: WALLER HELMS SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 225 W. WACKER DRIVE, SUITE 500 | | (No. and Street) | | | | |------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------|--| | CHICAGO | | | 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, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 20646 ABBEY WOODS CT. N - SUITE 201 FRANKFORT | | | 60423 | | | (Address) | (City) | (State) | (Zip Code) | | | 12/21/2021 | | 5376 | | | | (Date of Registration with PCAO…Read the full text as markdown