Full text of MONEX SECURITIES, INC.'s X-17A-5 filed 2024-01-31 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington,<br>D.C.<br>20549 | | | OMB APPROVAL<br>OMB Number:3235-0123<br>Expires:Nov.<br>30,<br>2026<br>Estimated average burden<br>hours per response:<br>12 | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------|----------------|------------------------------------------------------------------------------------------------------------------------------|--|--| | ANNUAL<br>REPORTS | | | SEC FILE NUMBER | | | | | X-17A-5<br>FORM | | 8-44784 | | | | | III<br>PART | | | | | | i /<br>"• ><br>FACING PAGE<br>Information Required Pursuant to Rules 17a-5,17a-12,<br>and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/2023 | AND ENDING | 12/31/2023 | | | | | MM/DD/YY | | MM/DD/YY | | | | A. | REGISTRANT IDENTIFICATION | | | | | | . Monex<br>Securities,<br>NAME OF FIRM: | Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0<br>security-based<br>Broker-dealer<br>Major<br>swap participant<br>Security-based swap dealer<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.) | | | | | Street,<br>440<br>Louisiana | Suite<br>1240 | | | | | | | (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<br>Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | filing*<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this<br>EEPB<br>Company | | | | | | | state last,first,and<br>(Name -if<br>individual,<br>middle name) | | | | | | | 2950<br>North<br>Loop<br>West,<br>Suite<br>1200 | HOUStOn | TX | 77092 | | | | (Address)<br>11/05/2003 | (City) | (State)<br>879 | (Zip Code) | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,if<br>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 supporte…Read the full text as markdown