Full text of WEBULL FINANCIAL LLC's X-17A-5 filed 2022-03-14 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | |--------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------|--------------------------|-----------------------------------------------------| | PUBLIC | | | 0MB Number: 3235-0123 | | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20S49 | | Elcpfres: Oct. 31, 2023<br>Estimated average burden | | | | | hours per response: 12 | | | ANNUAL REPORTS | | | | | | | SEC FILE NUMBER | | | FORM X-17A-S | | 8-69978 | | | PART Ill | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-U, and 18a-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING | ________<br>01/01/21 | AND ENDING | _______<br>12/31/21<br>_ | | | MM/OD/VY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: __ | w_eb_u_ll_F_in_a_n_ci_a_l LL_c | __________________ | _ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | ~ Broker-dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | D Check here if respondent is also an OTC derivatives deafer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 44 Wall Street, 2nd Froor | | | | | (No. and Street) | | | | New York, | New York | | 10005 | | (City) | | (State) | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | J. Clarke Gray | 917-238-1263 | clarke@taylorgrayllc.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | Raich Ende Malter & Co. LLP | | | | | 1375 Broadway | (Name - if individual, state last, first, and middle name)<br>New York | New York | 10018 | | (Address) | (Clty) | (State) | (Zip Code) | | 06/23/04 | | 50 | | | (Date of Registration with PCAOB)fif applicable) | | | (PCAOB Registration Number, if aDolicable) | | | 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 exemptton. See 17 | | | Persons who are to respond to the collection of Information **con…Read the full text as markdown