Full text of VESTECH SECURITIES, INC.'s X-17A-5 filed 2023-09-28 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | nu•<br>0MB Number: 3235-0123 | | | |---------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------------------------------------------------------------------------|------------------------------|---------------------------------------------|--| | Washington, D,C. 20549 | | Expires: O<I, 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-S | | 8-49409 | | | | | PART Ill | | | | | | Information Required Pursuantto Rules 17a•S, 17a•12, and 1Ba·7 under the Securities Exchange Act of1934 | FACING PAGE | | | | | | FILING FOR THE PERIOD BEGINNING | __<br>__<br>AND ENDING<br>07_/_0_1_/2_2 | | ___<br>__<br>0_6/_3_0_/2_3 | | | | | MM/DD/VY | | | MM/DO/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | __<br>NAME oF FIRM:_· | V_e_s_te_c_h_S_e_c_u_r_it_ie_s_,_ln_c_. | __________ | | _ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!l Broker-dealer<br>□ Check here If respondent Is also an OTC derivatives dealer | O Security-based swap dealer | O Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no,) | | | | | | | 11477 Olde Cabin Rd. Ste. 310 | | | | | | | | (No. and Street) | | | | | | St. Louis | Missouri | | 63141 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | John Huang | 314-828-2111 | | jhuang@e-vestech.com | | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | | | | Thomas Faust, CPA d/b/a Thomas Faust, CPA | | | | | | | (Name-If Individual, state last, first, and middle name) | | | | | | 17 4 Coldbrook Ct. | Lafayette | | Indiana | 4 7909 | | | (Address)<br>02/14/18 | (City) | (State) | 6479 | (Zip Code) | | | (Date of Registration with PCAOBl(lf annllcable\ | | | | (PCAOB Re11lstratlon Number, If anrtllcable | | | | 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…Read the full text as markdown