Full text of RIVINGTON SECURITIES, LLC's X-17A-5 filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, <sup>D</sup>.C 20549** | OMB Number: 3235-0123 | | |---------------------------|--| | Expires:Oct. 31,2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | # **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | 8-65329 | | **FACING PAGE** **Information Required Pursuant to Rules <sup>17</sup>a-5, <sup>17</sup>a-12,and <sup>18</sup>a-<sup>7</sup> under the Securities Exchange Act of <sup>1934</sup>** | FILING FOR THE PERIOD<br>BEGINNING | 01/01/2021 | AND ENDING | | 12/31/2021 | | |---------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|-------------------------------------------------|-----------------|--------------------------------------------------------------|--| | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | Rivington<br>NAME<br>OF FIRM: | Securities,<br>LLC | | | | | | TYPE OF REGISTRANT<br>(check all<br>B<br>Broker-dealer<br>Security-based<br>Check hereif respondent is also anOTC | applicable boxes):<br>swap dealer<br>derivatives dealer | Major security-based | | swap participant | | | ADDRESS OF PRINCIPAL<br>PLACE OF BUSINESS:(Do | | not use a P.O. box no.) | | | | | 609<br>Mian<br>Street,<br>Suite<br>3900 | | | | | | | | (No.andStreet) | | | | | | Houston | | TX | | 77002 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT<br>WITH REGARD TO THIS FILING | | | | | | | Scott<br>A.<br>Logan | 713-750-0900 | | | slogan@rivingtoncap<br>.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC<br>ACCOUNTANT<br>Moss<br>Adams<br>LLP | whose reports are | contained in this filing* | | | | | | (Name - If individual,state last,first,and | middle name) | | | | | 14555<br>Dallas<br>Parkway<br>STE<br>300 | Dallas | | TX | 75254 | | | (Address)<br>10/16/2003 | (City) | | (State)<br>659 | (Zip Code) | | | (Pate of Registration withPCAOB)(lf<br>applicable) | | | | (PCAOB Registration Number,if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | •Claims for exemption from the<br>accountant must be supported by a statement of facts<br>CFR 240.17a-5(e)(l)(H),if applicable. | requirement that the annualreports be covered | and circ…Read the full text as markdown