Full text of FROST BROKERAGE SERVICES, INC.'s X-17A-5 filed 2024-03-26 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART** Ill | hours per response:<br>12 | | |---------------------------|--| | | | | SEC FILE NUMBER | | | 8-35285 | | **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 **0 1/01 /23** MM/DD/VY AND ENDING **12/31 /23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: FROST BROKERAGE SERVICES, INC. TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer Ll 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 | | (No. and Street) | | |---------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------| | SAN ANTONIO | TEXAS | 78205 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | MICHAEL T MARRONE 646-930-1906 | | MICHAEL.MARRONE@FROSTBANK.COM | | (Name) | (Area Code - Telephone Number) | (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<br>78205 | (Address) (City) (State) (Zip Code) 10/20/2003 42 Ir• of ,,,;,trafoo w;th PCAOB 11• apphcable) **FOR OFFICIAL USE ON Ly** (PCAOB ,,,;~ra,;oo N"mbe,, ;f apphcable) I \* 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 of the exemption. See 17 CFR 240.17a-S(e)(l)(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 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