Full text of RHODES SECURITIES, INC.'s X-17A-5/A filed 2021-08-11 (period 2021-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESAND EXCHANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT** hours per response 12.00 **FORM X-17A-5 PART III** OMB APPROVAL OMB Number: 3235-0123 Expires: October <sup>31</sup>,<sup>2023</sup> Estimated average burden | SEC FILE NUMBER | | |-----------------|--| | e-37689 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the** **Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 05/01/20 | | AND ENDING 04/30/21 | | | |--------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------|---------------------|----------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT<br>IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Rhodes | SeCUfitieS<br>IflC<br>, | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: ( Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 306<br>West<br>7th<br>Street<br>Suite<br>, | 1000 | | | | | | ( No. and Street ) | | | | | Worth<br>Fort | Texas | | 76102 | | | (City ) | (State ) | | ( Zip Code ) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REP<br>Kathy<br>Parker | | | ^<br>4-476-6002<br>( Area Code - Telephone Number) | | | | B. ACCOUNTANT<br>IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Moss<br>Adams<br>LLP | | | | | | Dallas<br>Ste<br>14555<br>300 | ( Name -if individual, slate last, first, middle name )<br>Dallas | | | | | Parkway<br>, | | Texas | 75254 | | | ( Address) | (City ) | ( State ) | (Zip Code ) | | | CHECK ONE:<br>/<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *'Claims 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 240.17<sup>a</sup>-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond** SEC **unless theform displays <sup>a</sup> currently valid OMB control number.** <sup>14…Read the full text as markdown