Full text of FROST BROKERAGE SERVICES, INC.'s X-17A-5 filed 2022-03-22 (period 2021-12-31). 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** | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | | SEC FILE NUMBER | | | 8-35285 | | ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** **FACING PAGE Information Required Pursuant to Rules 17a-s, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01101121 AND ENDING 12131121 --------- ---------- MM/00/YY **A. REGISlRANT IDENTIFICATION** NAME OF FIRM: FROST BROKERAGE SERVICES, INC. TYPE OF REGISTRANT (check all applicable boxes): MM/DD /YY **iii** Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) 111 WEST HOUSTON STREET SANANTONIO (City) (No. and Street) TEXAS (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 78205 (Zip Code) MICHAEL T MARRONE (Name) 646-930-1906 (Area Code -Telephone Number) MICHAELMARRONE@FROHBANK. **COM** (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained In this filing\* ERNST & YOUNG LLP (Name - if individual, state last, first, and middle name) 111 WEST HOUSTON STREET STE 1901 SAN ANTONIO TEXAS ~~~ ~~ (State) 10/20/2003 42 78205 (Zip Code) (Date of Registration with PCAOB)(lf applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \* aims or exemption rom t e requirement t att e annua reports covere y t e reports o an in epen ent pu ic accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the colection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, ANGELA HOLLIDAY | swear (or affirm) that, to the best of my knowledge and belief, the | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------…Read the full text as markdown