Full text of RCX CAPITAL GROUP, LLC's X-17A-5 filed 2020-03-17 (period 2019-12-31). 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: | August 31, 2020 | | Estimated average burden | | | hours per response 12.00 | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | S-53416 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2019 | ~~~~~~~~~~~ | | AND ENDING 12/31/2019 | | |------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------|--| | | MM/ DD/YY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME of BROKER-DEALER: ACX Capital Group, LLC | | | OFFICIAL USE ONLY | | | ADDRESS Of PRINCIPAL PLACE Of BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | | 2002 Timberloch Place, Suite 200 | | | | | | | (No. and Street) | | | | | The Woodlands | Texas | | 77381 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>Joan-Louis Gulnchard | | | 858-232-5887 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | McBee & Co. | | | | | | | (Name - if iudividual, state last, first, middle uame) | | | | | 718 Paulus Avenue | Dallas | Texas | 75214 | | | (Address) | (C i1y) | (S1a1e) | (Zip Code) | | | CHECK ONE: | | | | | | It/ l<br>Ccrti tied Pub I ic Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *•claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2)* > Potential persons who are to respond to the collection of Information contained In this form are not required to respond unless the form dis plays a currently valid OMB control number . SEC 1410 (06-02) • {1}-----------------------------------------------…Read the full text as markdown