Full text of ALTERNA SECURITIES, INC.'s X-17A-5 filed 2024-03-07 (period 2023-12-31). 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; Nov 30, 2026 | | Estimated average burder | | hours per response:<br>! ~ | | SEC FILE N'JMBER | | 8-49311 | | | # ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING Q 1/01 /2023 | | AND ENDING 12/31 /2023 | | |----------------------------------------------------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------|------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: Alterna Securities, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!J Broker-dealer<br>:= Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | 0 Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 2800 Post Oak Blvd, Suite 6300 | | | | | | (No. and Street) | | | | Houston | TX | | 77056 | | (City) | (State) | | (Zip Code} | PERSON TO CONTACT WITH REGARD TO THIS FILING | F. Xavier Maza | 713-885-9843 | xmaza@alternasecu 1ties.com | |----------------|--------------------------------|-----------------------------| | (Name) | (Area Code - Telephone Number) | (Email Address) | ### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # EEPB1 P.C. | 2950 North Loop West Freeway, Suite 1200 | (Name- if individual, state last, first, and middle name)<br>Houston | Texas | 77092 | |-------------------------------------------------|----------------------------------------------------------------------|--------------------------------------------|------------| | (Address) | (City) | (State) | (Zip Code) | | 11/5/2023 | | 879 | | | (Date of Registration with PCAOB}(if ap licable | | PCAOB Re istratlon Number, if applica ble: | ---, | | | 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 exemptior\. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Pers…Read the full text as markdown