Full text of PHILLIPS & COMPANY SECURITIES INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Phillips & Company Securities, Inc. Report Pursuant to Rule 17a-5 ( d) Financial Statements For the Year Ended December 31, 2021** {1}------------------------------------------------ | UNITED STATES | | | | | | |------------------------------------|--|--|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | | | | | | | Washington, D.C. 20549 | | | | | | # **ANNUAL REPORTS FORM X-17A-S PART Ill** hours per response: **12 SEC FILE** NUMBER 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden 8-46896 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 1Ba-7, under the Securities Exchange Act-of 1934** **FILING FOR THE PERIOD BEGINNING 0 1/01 /21** MM/DD/VY **AND ENDING 12/31** /21 MM/DD/VY **A. REGISTRANT IDENTIFICATION** # **NAME oF FIRM:** Phillips and Company Securities, Inc. **TYPE OF REGISTRANT (check all applicable boxes):** Iii **Broker-dealer** □ **Security-based swap dealer** □ **Check here If respondent is also an OTC derivatives dealer** □ **Major security-based swap participant** **ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)** # 521 SW 11th Avenue #200 | | | (No. and Street) | | | | |----------------------------------------------|--|-------------------------------|--------------------------|--|--| | Portland<br>(City) | | Oregon | 97205 | | | | | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | James Smith | | 503-416-4688 | jsmith@phillipsandco.com | | | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | **INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\*** # Alvarez **&** Associates, Inc. | 9221 Corbin Avenue, Suite 165 Northridge | (Name - If Individual, state last, first, and middle name) | | | California 91324 | | | |--------------------------------------------------|------------------------------------------------------------|-----------------------|-------------------------------------------|------------------|--|--| | (Address) | (City) | | (State) | (Zip Code) | | | | 10/16/2018 | | | 6517 | | | | | (Date of Re lstratlon with PCAOB If a<br>llcabfe | | | (PCAOB Re lstratlon Number, if a llcable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | **• Claims** *for* **exemption from the requirement that the annual reports be covered by the reports of an independent public accountant…Read the full text as markdown