Full text of RHODES SECURITIES, INC.'s X-17A-5 filed 2023-07-31 (period 2023-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL<br>REPORTS | | | | |-------------------|--|--|--| | X-17A-5<br>FORM | | | | | | | | | | OMB Number: 3235-0123 | | | | |---------------------------|--|--|--| | Expires:Oct. 31,<br>2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | SEC FILE NUMBER 8-37689 | | III<br>PART | | | | | | | |--------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|-----------------------|------------------|--|--|--|--| | FACING PAGE | | | | | | | | | Information Required Pursuant to Rules 17a-5,<br>17a-12,<br>and 18a-7 under<br>the Securities Exchange Act of 1934 | | | | | | | | | FILING FOR THE PERIOD BEGINNING | 05/01/22 | AND ENDING | 04/30/23 | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | | | | | Rhodes Securities,Inc.<br>NAME OF FIRM: | | | | | | | | | TYPE OF REGISTRANT (check all<br>Effl Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | boxes):<br>applicable<br>Major<br>Security-based swap dealer | security-based | swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | use a P.O.<br>(Do not | box no.) | | | | | | | Street,Suite<br>306 W.<br>7th<br>1000 | | | | | | | | | | (No. and Street) | | | | | | | | Fort<br>Worth | TX | | 76102 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | J. Gordon<br>Rhodes | 817/334-0455 | gr@rsi2.com | | | | | | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>Co.,<br>McBee &<br>PC | are contained | in<br>filing*<br>this | | | | | | | (Name -if | state last,first,<br>individual, | and middle name) | | | | | | | 718 Paulus<br>Avenue | Dallas | TX | 75214 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 09/22/2009 | | 3631 | | | | | | | (PCAOB Registration Number,if<br>(Date of Registration with PCAOB)(if applicable)<br>applicable) | | | | | | | | | 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 <sup…Read the full text as markdown