Full text of MONEX SECURITIES, INC.'s X-17A-5 filed 2023-02-07 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: <sup>1</sup> 2 # **ANNUAL REPORTS FORM X-17A-5 PART III** **FACING PAGE** SEC FILE NUMBER MM/DD/YY 8-44784 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01/01/2022 MM/DD/YY AND ENDING 12/31/2022 **A. REGISTRANT IDENTIFICATION** Monex Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): K Broker-dealer Security-based swap dealer Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) Check here if respondent is also an OTC derivatives dealer 440 Louisiana Street, STE 1240 NAME OF FIRM: | | | (No. and Street) | | | | |------------------------------------------------------------------------------------------------------------------------|---------------|--------------------------------------------------|--------------------------------------------|------------|--| | Houston | | TX | | 77002 | | | (City) | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Ruben<br>Contreras<br>713-877-8234 | | | rcontreras@monexsec.com | | | | (Name) | | (Area Code -Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | EEPB<br>Company | -if<br>(Name | individual, state last, first, and middle name) | | | | | 2950<br>North<br>Loop<br>West, | Suite<br>1200 | Houston | TX | 77092 | | | (Address) | (City) | | (State) | (Zip Code) | | | 11/05/2003 | | | 879 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAQB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | Ruben<br>Contreras<br>,<br>I,<br>swear (or affirm) that, | to<…Read the full text as markdown