Full text of FROST BROKERAGE SERVICES, INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURmESANDEXOIANGECOMMISSION Washington,** D.C. 20549 | 0MB APPROVAL | | | |--------------------------|-----------------|--| | 0MB Number: | 3235-0123 | | | Expires: | August 31, 2020 | | | Estimated average burden | | | | hours<br>r res | nse . 12.00 | | ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill SEC ALE NUMBER B-35285 #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | -----<br>---<br>REPORT FOR THE PERIOD BEGINNING 01/01/2019<br>AND ENDING 12/31/2019 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-------------------|------------------------------------------------|--| | | -<br>MM/DD /Y Y | - | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: FROST BROKERAGE SERVICES, INC. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 111 WEST HOUSTON STREET | | | | | | | (No. and Street) | | | | | SANANTONIO | TEXAS | | 78205 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>MICHAEL T MARRONE | B. ACCOUNTANT IDENTIFICATION | | 64&-930--1906<br>(Area Code -Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>ERNST & YOUNG LLP | | | | | | | (Name - ifmdivld11al, slate last, first. middle name) | | | | | 111 WHOUSTON STREET STE 1901 | SAN ANTONIO | TEXAS | 78205 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>lcertified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | POR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis for the exemption. See Section 140.l7a-5(e)(l)* > **Potential persons who are to respond to the collectlon of Information contaln•d In thle form ar• not regulred to respond** uni en the form dlaplay1 a currentlyvalld 0MB control number. SEC 1410 (06-02) {1}------------------------------------------------ ## **OATH OR…Read the full text as markdown