Full text of FIRST DALLAS SECURITIES, INC.'s X-17A-5 filed 2023-09-29 (period 2023-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | | | | |--------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|------------------------------|--------------------------------------------|--|--|--| | | SEC FILE NUMBER | | | | | | | | FORM<br>X-17A-5 | ANNUAL | | | | | | | III<br>PART | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | 1<br>2022<br>Jllly<br>31<br>2023<br>AligUSt<br>AND ENP NG<br>FILING FOR THE PERIOD BEGINNING | | | | | | | | | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | First<br>Dallas<br>NAME OF FIRM: | Securities | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>H<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Major<br>Security-based swap dealer | | security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not | use a P.O. box no.) | | | | | | | 2905<br>Ave<br>Maple | | | | | | | | | (No. and Street) | | | | | | | Dallas | TX | | 75201 | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Charmagne<br>Darabadey | | cdarabadey@hodgescapital.com | | | | | | (Name) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in<br>Moss<br>Adams | | this<br>filing* | | | | | | 14555<br>Dallas<br>Parkway | (Name -if<br>individual, state last, first, and middle name)<br>Dallas<br>Ste<br>300 | TX | 75254 | | | | | (Address)<br>10/16/2003 | (City) | (State)<br>659 | (Zip Code) | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if 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 a statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | | | | CFR 240.17a-5(e)(l)(ii), if applicable. Persons who are to respond tothe colle…Read the full text as markdown