Full text of RIVINGTON SECURITIES, LLC's X-17A-5 filed 2019-02-25 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITJESAND EXCHANGE COMMISSION** Washington,D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | | 0MB APPROVAL | |--------------------------|-----------------|--------------| | 0MB Number: | | 3235-0123 | | Expires: | August 31, 2020 | | | Estimated average burden | | | | hours per resoonse | | . 12.00 | | | | | | SEC FILE NUMBER | |-----------------| | 8-65329 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2018 | | AND ENDING 12/31/2018 | | | |--------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------|-----------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER= | Rivington Securities, LLC<br>OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>609 Main Street, Suite 3900 | | | FIRM 1.0. NO. | | | | (No. and Street) | | | | | Houston | TX | | 77002 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Scott A. Logan | B. ACCOUNT ANT IDENTIFICATION | | 713-7500900<br>(Arca Code - Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>Moss Adams LLP | | | | | | | (Name - if individual. swte last firs 1. middle name) | | | | | 8750 N. Central Expwy, Suite 300 | Dallas | TX | 75231 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>I./<br>!certified Public Accountant<br>B<br>Public Accountant | 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/acts and circumstances relied on as the basis/or the exemption. See Section 2-I0.17a-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 displays a currently valid OM B control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** # I, Mi…Read the full text as markdown