Full text of FROST BROKERAGE SERVICES, INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXC:HANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct 31, 2023 Estimated average burden hours per response; 12 ## **ANNUAL REPORTS FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | | | | 8-35285 | | **FACING PAGE Information Required Pursuant to Rules 17acS, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | ---------<br>01101122<br>FIUNG FOR THE ·PERIOD BEGINNING<br>AND ENDING | | 12131122 | ---------- | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|----------|-----------------|----------------------|--| | | MM/ 0 D /Y Y | | | MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: . FROST BROKERAGE SERVICES, INC. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii Broker-dealer<br>O Security-based swap dealer<br>□ Majorsecurity-based swap participant<br>□ Check here if respondent is.also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Oo not use a P.O. box no.) | | | | | | | 111 WEST HOUSTON STREET | | | | | | | | (No. and Street) | | | | | | SAN ANTONIO | TEXAS | | | 78205 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | MICHAEL TMARRONE | 646-930-1906 | | | MICHAELMARRONE@FRO:: | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANTwhose reports are contained in this filing•<br>ERNST & YOUNG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 111 WEST HOUSTON STREET STE 1901 | SAN ANTONIO | | TEXAS | 78205 | | | (Address) | (City) | | (State) | (Zip Code) | | | 10/20/2003 | | 42 | | | | | (Date of Registration with PCAOB)(ifapplicable)<br>(PCAOB Registration Number, if applicable)<br>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 ofthe exemption. See 17 CFR 240,17a~S(e)(l)(ii), if appJicable. Persons who are to respond to the collection ofinformation contained…Read the full text as markdown