Full text of RHODES SECURITIES, INC.'s X-17A-5 filed 2021-06-29 (period 2021-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UN1TEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response 12.00 3235-0123 October 31, 2023 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | s-37689 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17<sup>a</sup>-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING05/01/20 | AND ENDING04/30/21 | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------|------------------------------|---------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER:Rhodes<br>Securities<br>Inc<br>, | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | Street<br>306<br>West<br>7th<br>Suite<br>, | 1000 | | | | | | ( No and Street ) | | | | | Fort<br>Worth | Texas | | 76102 | | | (City ) | (Stale ) | | ( Zip Code ) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Moss<br>Adams<br>LLP<br>Dallas<br>Parkway<br>14555<br>Ste<br>300<br>, | B. ACCOUNTANT IDENTIFICATION<br>( Name -if individual, slate last,<br>Dallas | first, middle name)<br>Texas | ( Area Code -<br>Telephone Number)<br>75254 | | | ( Address) | (City ) | (Slate ) | (Zip Code ) | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | *\*( laims for exemption from the requirement that the annual report he covered by the opinion of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis for the exemption See Section <sup>240</sup>.* **/** *<sup>7</sup><sup>a</sup>-<sup>5</sup> fe )(2)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond** SEC **unless the form displays <sup>a</sup> currently valid OMB control number.** <sup>1410</sup> (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** #### <sup>i</sup> J. Gordon Rhode…Read the full text as markdown