Full text of PPHB SECURITIES LP's X-17A-5 filed 2024-01-19 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | | | OMB APPROVAL | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|--------------|-------------------------------|----------------------------------|--|--|--| | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | Expires:Nov. 30, | OMB Number: 3235-0123 | | | | | Washington,<br>D.C.<br>20549 | | | | 2026<br>Estimated average burden | | | | | | | | hours per response: | 12 | | | | | | ANNUAL<br>REPORTS | | SEC FILE NUMBER | | | | | | | X-17A-5<br>FORM | | 8-66550 | | | | | | | III<br>PART | | | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, | | | | | | | | | 17a-12,<br>and 18a-7 under the Securities Exchange Act of 1934<br>12/31/2023 | | | | | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/2023<br>AND ENDING | | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | PPHB<br>NAME OF FIRM: | Securities,<br>LP | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0<br>Broker-dealer<br>Major security-based<br>Security-based swap dealer<br>swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | (Do not use a P.O. box no.) | | | | | | | | | | | | | | | | | St.<br>Place,<br>1885<br>James | STE<br>900 | | | | | | | | | (No. and Street) | | | | | | | | Houston | TX | | | 77056 | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Michael<br>Schaps | 281-367-2454 | | michael.schaps@legayelaw.com | | | | | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in | | this filing* | | | | | | | Phillip<br>V.<br>George, | PLLC | | | | | | | | (Name-if | state last,first,<br>individual,<br>and middle name) | | | | | | | | 5179<br>1026<br>CR | Celeste | TX | | 75423 | | | | | (Address) | (City) | (State) | | (Zip Code) | | | | | 02/24/2009 | | 3366 | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,if | applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | |…Read the full text as markdown