Full text of MONEX SECURITIES, INC.'s X-17A-5 filed 2022-02-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number:3235-0123 Expires: Oct. 31,2023 Estimated average burden hours per response: <sup>12</sup> #### **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | 8-44784 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | 01/01/2021<br>AND ENDING | 12/31/2021 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|-------------------------------------|-------------------------------|-------------------------| | | MM/DD/YY | | | MM/DD/YY | | A. | REGISTRANT IDENTIFICATION | | | | | Monex<br>Securities,<br>NAME OF FIRM: | Inc. | | | | | TYPE OF REGISTRANT (check all<br>B<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | applicable boxes):<br>Security-based swap dealer | Major<br>security-based | | swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS:<br>1240<br>440<br>Louisiana<br>Street,<br>STE | (Do not | use a P.O.<br>box no.) | | | | | | | | | | | (No. and Street) | | | | | Houston | TX | | | 77002 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Ruben<br>Contreras | 713-877-8234 | | | rcontreras@monexsec.com | | (Name) | (Area Code -Telephone | Number) | (Email Address) | | | B. | ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>EEPB<br>Company | | filing*<br>are contained<br>in this | | | | (Name -if | state last,first,<br>individual, | and middle name) | | | | 2950<br>North<br>Loop<br>West,<br>Suite | 1200<br>Houston | | TX | 77092 | | (Address) | (City) | | (State) | (Zip Code) | | 11/05/2003 | | | 879 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,if | applicable) | | | FOR OFFICIAL USE ONLY | | | | | l<br>* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of…Read the full text as markdown