Full text of MONEX SECURITIES, INC.'s X-17A-5 filed 2020-02-13 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** #### **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** OMB APPROVAL 0MB Number: Expires: Estimated average burden hours per response 12.00 3235-0123 August 31,2020 #### **SEC FILE NUMBER** <sup>B</sup>-44874 **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 01/01/2019 | AND ENDING 12/31 | /2019 | |--------------------------------------------|------------------|-------| | | | | MM/DD/YY MM/DD/YY ## **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: **MoiieX Securities, IllC. OFFICIAL USE ONLY** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>P</sup>.O. Box No.) 440 Louisiana Street, STE 1240 | (No and Street) | | | |-----------------|---------|------------| | Houston | TX | 77002 | | (City) | (State) | (Zip Code) | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Ruben Contreras <sup>713</sup>-077-<sup>8234</sup> (Area Code -Telephone Number) **FIRM I.D. NO** #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* #### EEPB, P.C. | 2950<br>North<br>Loop<br>West, | STE<br>1200<br>Houston | TX | 77092 | |----------------------------------|---------------------------------------------------------------------|---------|------------| | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | J<br>Certified Public Accountant | | | | | Public Accountant | | | | | | 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 be covered by the opinion of an independent public accountant must be supported by <sup>a</sup> statement offacts 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 containedin this form arenotrequired torespond unless the form displays <sup>a</sup> currently valid OMB controlnumber. SEC <sup>1410</sup> (06-02)** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | Ruben Contreras | , swear (or affirm) that, to the best of | |----------|------------------------------------------------------------------------------------------…Read the full text as markdown