Full text of A & M SECURITIES, LLC's X-17A-5 filed 2019-03-01 (period 2018-12-31). 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: | March 31, 2020 | | Estimated average bu ~en | | | hours per response • l2.00 | | #### **ANNUAL AUDITED REPORT FORM X-17 A-5 PART 111** | SEC FILE NUMBER | |-----------------| | 8· 48648 | # FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 a nd Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | __<br>: 0::.<br>1::<br>/0=1"--'<br>n;;;;:<br>Sc__ | AND ENDING | 12/31/18 | | |-------------------------------------------------------------------------|-------------------------------------------------------------|------------|---------------------------------|--| | | MM/DD/YY | | MM/00/YY | | | | A. REGISTRANT IDENTIFJCATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | A&M Securities, LLC | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not usc P.O. Box No.) | | | FIRM J.D. NO. | | | 2475 Northwinds Parkway, Suite 200 | | | | | | Atlanta | (No. and Street)<br>GA | | 30009 | | | (City) | (State) | | (Zip Code) | | | | | | | | | NAME AND TELEPHONE NUMBER Of PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Hugh Albritton ill | | | (770) 753-6166 | | | | | | (Area Code - Telepltonc Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in the Report* | | | | | | RubioCPA PC | | | | | | | (Name - if illdi>•idual, state la.tl, first', micld/e name) | | | | | | | | | | | 2727 Paces Ferr.): Road SE, Suite 2-1680 Atlanta | | Georgia | 30339 | | | (Address) | (City) | (State) | ·<br>(Zip Code) | | | CHECK ONE: | | | | | | II<br>Certified Public Accountant | | | | | | 0<br>Public Accountant | | | | | | 0 | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*'Claims for exemption from the requirement thai/he anmi(J/ report be covered by the opinion of an lndepe11dellf public occotmlanf must be supported by a stateme/11 ojjacts and circumstances relied* 011 *as the basis for the exemption. See Secllon 240.17a-5(e){2)* > Potential persons who are to respond tG the collection of lnfonnatlon contained In this fonn are not required to respond unless the form displays a currently valid OMB control n…Read the full text as markdown