Full text of PHILLIPS & COMPANY SECURITIES INC.'s X-17A-5 filed 2023-04-07 (period 2022-12-31). 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, 2022** {1}------------------------------------------------ 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: 12 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2022 filing for the period beginning 01/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Phillips and Company Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): ത Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 521 SW 11th Avenue #200 | (No. and Street) | | | | | | | |------------------------------------------|--------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | OR | 97205 | | | | | | | (State) | | (Zip Code) | | | | | | | | | | | | | | 503-416-4688 | | jsmith@phillipsandco.com | | | | | | (Area Code - Telephone Number)<br>(Name) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Portland | OR | 97204 | | | | | | (City) | (State) | (Zip Code) | | | | | | | 3912 | | | | | | | | (PCAOB Registration Number, if applicable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(Date of Registration with PCAOB)(if applicable) | (Email Address)<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | | | | \* 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)(1)(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 curre…Read the full text as markdown