Full text of R.M. DUNCAN SECURITIES, INC.'s X-17A-5 filed 2023-08-03 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-30534 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 07/01/22 MM/DD/YY AND ENDING 06/30/23 MM/DD/YY A. REGISTRANT IDENTIFICATION ## NAME OF FIRM: R.M. DUNCAN SECURITIES, INC. TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | | Security-based swap dealer | | Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 10201 W. MARKHAM ST, SUITE 219 | | (No. and Street) | | | | | | |--------------------------------------------------------------------------------------------------|--------------------------------------------|-----------------|---------------------|--|--|--| | LITTLE ROCK | AR | | 72205 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Romeo Portillo | 501 280 0298 | | operations@rmds.biz | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Tuttle & Bond, PLLC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 2954 Goehmann Lane | Fredericksburg | IX | 78624 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 03/19/2019 | 6543 | | | | | | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual 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 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.  {1}------------------------------------------------ | OATH OR AFFIRMATION | | | | | | |--------------------------------------------------…Read the full text as markdown