Full text of RHODES SECURITIES, INC.'s X-17A-5 filed 2020-06-29 (period 2020-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** **OMB APPROVAL OMB Number 3235-0123 Expires: August 31, 2020 Estimated average burden** ### **hoursperresponse 12.00 ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | C<br>R<br>LE<br>SE<br>R<br>NU<br>M<br>BE | |------------------------------------------| | | | 9<br>3<br>7<br>6<br>8<br>e- | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section <sup>17</sup> of the Securities Exchange Act of <sup>1934</sup> and Rule 17a-5 Thereunder** | D<br>G<br>R<br>T<br>E<br>T<br>H<br>R<br>E<br>PO<br>R<br>FO<br>PE<br>R<br>IO<br>B<br>E<br>G<br>IN<br>N<br>IN | 0<br>5<br>/ | 0<br>1<br>/<br>1<br>9 | D<br>G<br>A<br>N<br>EN<br>D<br>IN | 0<br>4<br>/<br>3<br>0<br>/<br>2<br>0 | | |---------------------------------------------------------------------------------------------------------------------------------------------------|--------------------|-------------------------------------------------------------------------|------------------------------------------------------|------------------------------------------------------------------------------|--| | | | YY<br>M<br>M<br>/D<br>D/ | | YY<br>M<br>M<br>/D<br>D/ | | | R<br>E<br>A | G<br>S<br>I<br>T | T<br>R<br>A<br>N<br>I<br>D<br>E<br>N<br>T<br>I<br>F<br>I | N<br>C<br>A<br>O<br>T<br>I | | | | R<br>h<br>d<br>E<br>s<br>F<br>o<br>e<br>N<br>A<br>M<br>O<br>B<br>R<br>O<br>K<br>E<br>R<br>-D<br>E<br>A<br>L<br>E<br>R<br>: | S<br>e<br>c | I<br>ri<br>i<br>t<br>n<br>c<br>u<br>e<br>s<br>, | | LY<br>E<br>FF<br>IC<br>IA<br>L<br>U<br>S<br>N<br>O<br>O | | | L<br>E<br>F<br>SS<br>F<br>C<br>C<br>A<br>D<br>D<br>R<br>E<br>O<br>PR<br>IN<br>IP<br>A<br>PL<br>A<br>O<br>B<br>U | SI<br>N<br>E<br>SS | o<br>ox<br>N<br>)<br>(D<br>se<br>P.<br>O<br>B<br>t u<br>no<br>o.<br>: | | M<br>FI<br>R<br>I.D<br>N<br>O | | | W<br>h<br>S<br>S<br>i<br>3<br>0<br>6<br>t<br>7<br>t<br>1<br>0<br>0<br>0<br>t<br>t<br>t<br>e<br>e<br>s<br>re<br>e<br>u<br>, | | | | | | | | | d<br>(N<br>St<br>)<br>et<br>o.<br>an<br>re | | | | | h<br>F<br>W<br>rt<br>rt<br>o<br>o | | X<br>T | | 6<br>1<br>0<br>2<br>7 | | | (C<br>ity<br>) | | (S<br>e)<br>tat | | (Z<br>ip<br>Co<br>de<br>) | | | D<br>R<br>E<br>E<br>F<br>N<br>A<br>M<br>A<br>N<br>TE<br>L<br>E<br>PH<br>O<br>N<br>N<br>U<br>M<br>B<br>E<br>O<br>PE<br>Ka<br>thy<br>Pa<br>rke<br>r | R<br>SO | IN<br>N<br>O<br>T<br>T<br>C<br>O<br>N<br>T<br>A<br>C | D<br>O<br>IS<br>R<br>E<br>G<br>A<br>R<br>T<br>T<br>H | T<b…Read the full text as markdown