Full text of MONEX SECURITIES, INC.'s X-17A-5 filed 2021-02-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response 12.00 3235-0123 October 31,2023 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | a-44874 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the** | Securities | Exchange<br>of<br>1934<br>Rule<br>Act<br>and | 17a-5<br>Thereunder | | | |-----------------------------------------------------------------------------------------------|---------------------------------------------------------------|----------------------|----------------------------------|--| | REPORT<br>FOR THE<br>PERIOD<br>BEGINNING | 01/01/2020 | AND<br>ENDING | 12/31/2020 | | | | MM/DD/YY<br>MM/DD/YY | | | | | A. | REGISTRANT<br>IDENTIFICATION | | | | | Securities,<br>Inc.<br>BROKER-DEALER: Monex<br>NAME<br>OF | | | OFFICIAL USE ONLY | | | BUSINESS:<br>No.)<br>ADDRESS<br>OF<br>PRINCIPAL<br>PLACE<br>OF<br>not use<br>P.O. Box<br>( Do | | | FIRM I.D.<br>NO. | | | 440<br>Louisiana<br>Street, | STE<br>1240 | | | | | | (No. and Street) | | | | | Houston | TX | | 77002 | | | (City ) | (State) | | (Zip Code ) | | | TELEPHONE<br>NAME<br>AND<br>NUMBER<br>Ruben Contreras | CONTACT<br>OF<br>PERSON<br>TO<br>IN<br>REGARD | THIS<br>TO<br>REPORT | 713-877-8234 | | | | | | (Area Code -Telephone<br>Number) | | | B. | ACCOUNTANT<br>IDENTIFICATION | | | | | ACCOUNTANT<br>INDEPENDENT<br>PUBLIC | whose<br>is<br>contained<br>in this<br>opinion | Report* | | | | EEPB<br>Company | | | | | | | (Name -if<br>individual, state last, first, middle name ) | | | | | North<br>Loop<br>West,<br>2950 | Houston<br>Suite<br>1200 | TX | 77092 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK<br>ONE: | | | | | | Certified<br>Public<br>Accountant | | | | | | Public<br>Accountant | | | | | | Accountant<br>resident<br>not | possessions.<br>in United<br>States<br>or<br>any<br>of<br>its | | | | | | OFFICIAL<br>USE<br>ONLY<br>FOR | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond**…Read the full text as markdown