Full text of BROWN BROTHERS HARRIMAN INVESTMENTS, LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: 0DUPCFS Estimated average burden ## hours per response.. . . . . 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | 69731<br>8- | **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______________________________ | 01/01/2020 | | 12/31/2020<br>AND ENDING______________________________ | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|--------------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | A. | REGISTRANT IDENTIFICATION | | | | Brown<br>Brothers<br>NAME OF BROKER-DEALER: | Harriman | Investments,<br>LLC | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 140<br>Broadway<br>___________________________________________________________________________________________________________________ | | | | | | (No. and Street) | | | | New<br>York<br>___________________________________________________________________________________________ | NY | | 10005<br>__________________________ | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>_____________________________________________________________________________________________________________________<br>Richard D. Ham | | | (212) 493-7939<br>(Area Code – Telephone Number) | | B. | ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>BAKER<br>TILLY<br>US,<br>LLP<br>_____________________________________________________________________________________________________________________ | | | | | | (Name – if individual, state last, first, middle name) | | | | One<br>Penn<br>Plaza<br>-<br>Suite<br>3000<br>_____________________________________________________________________________________________________________________ | New<br>York | NY | 10119 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | |…Read the full text as markdown