Full text of USCA SECURITIES LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-52285 | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------|-----------------------------|--|--|--|--|--| | FILING FOR THE PERIOD BEGINNING | __<br>___<br>0_1_/0_1_/_2_2 | AND ENDING | ___<br>__<br>1_2_/3_1 /_2_2 | | | | | | | | MM/DD/VY | | MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME oF FIRM: USCA Securities LLC | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>C!J Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 4444 Westheimer, Suite G500 | | | | | | | | | | | (No. and Street) | | | | | | | | | Houston | TX | | 77027 | | | | | | | (City) | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Patrick Mendenhall<br>713-366-0500 | | pmendenhall@uscallc.com | | | | | | | | (Name) | (Area Code -Telephone Number)<br>(Email Address) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>Pannell Kerr Forster of Texas, P.C. | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 584 7 San Felipe, Suite 2600 Houston<br>77056<br>TX | | | | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | 10/16/2003<br>342 | | | | | | | | | | | 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 exemption. See 17 CFR…Read the full text as markdown