Full text of FROST BROKERAGE SERVICES, INC.'s X-17A-5 filed 2021-03-16 (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 0MB APPROVAL OMBNumber: 3235-0123 Expires; October 31 , 2023 Estimated average burden hours oer resoonse .... . . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-35285 | **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 O 1/01/2020 | | -----------<br>AND ENDING 12/31/2020 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------|------------------------------------------------|--| | | MM/DD/YY | | 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 1.0. 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 nns REPORT | | | | | | MICHAEL T MARRONE | | | 646-930-1906<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report"'<br>ERNST & YOUNG LLP | | | | | | | (Name - if individual, slate last, first, middle name) | | | | | 111 WEST HOUSTON STREET STE 1901 | SAN ANTONIO | TEXAS | 78205 | | | (Address} | (City) | (State) | (Ztp Code) | | | CHECK ONE:<br>I<br>✓<br>Certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR 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 facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential 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 0MB control number.** SEC 1410 (11-05) {1}------------------------------------------------ ### **OATH OR AF…Read the full text as markdown