Full text of RIVINGTON SECURITIES, LLC's X-17A-5 filed 2021-02-19 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | | | FOB OFFICIAL | USE ONLY | | | |-----|--------------------------------|-----------------------------------------------|----------------------------|---------------------------------------------------------|-------------------------------------------------------|-----------------------------------------|-----------------------------------| | | | Publ c Accountant<br>Accc untant not resident | | in United States or any of its | possessions. | | | | | ^ | Certjfied Public Accountant | | | | | | | | CfljECK ONE: | | | | | | | | | | | | (City) | (State) | | (Zip Code) | | | 14555<br>(Address) | Dallas | Parkway | Dallas | TX | | 75254 | | | | | | (Name<br>if individual, state last, first, middle name) | | | | | | INDEPENDENT<br>Moss<br>Adams | P JBLIC ACCOUNTANT whose<br>LLP | | opinion is contained | in this Report* | | | | | | | B, ACCOUNTANT | | IDENTIFICATION | | | | | | | | | | | (Area Code-Telephone Number) | | | NAME AND TELI<br>Scqtt A.Logan | | | PHONE NUMBER OF PERSON TO CONTACT | IN REGARD TO THIS REPORT | 713-750-0900 | | | | | | | (State) | | (Zip Code) | | | | i | (City) | | TX | | 77002 | | | | Houston | | | (No. and Street) | | | | | 609 | Main | Street<br>Suite<br>, | 3900 | | | | | | | I<br>ADDRESS OF PRINCIPAL | | | PLACE OF BUSINESS; (Do not | use P,0.Box No.) | | FIRM I.D. NO. | | | NAME OF BRO<br>I | R-DEALER:Rivington | | Securities<br>, | LLC | | OFRCIAL USE ONLY | | | | | A. REGISTRANT | | IDENTIFICATION | | | | | | | | MM/DD/YY | | MM/DD/YY | | | I | | REPORT FOR TH i PERIOD BEGINNING01/01/2020 | | | AND ENDING12/31/2020 | | | | | Inf | >rmation<br>Securities | Required<br>of<br>Exchange | Brokers<br>and<br>Dealers<br>Act of<br>1934<br>and | Pursuant<br>to Section<br>Rule<br>17a-5<br>Thereunder | of<br>17<br>the | | | | | | | FACING PAGE | | | | | | | | | PART<br>III | | | SECFILENUMBER<br>8-65329 | | | | | | FORM<br>X-17A-5 | | | | | | | | ANNUAL | AUDITED | REPORT | hours perresponse | Estimated average burden<br>12.00 | | | | | | Washington,D.C 20549 | | Expires: | October 31, 2023 | | | | | | SECURITIESANDEXCHANGECOMMISSION | | OMB APPROVAL<br>OMB Number<br>3235-0123 | | **Potential persons who are to respond to the collection of informationcontainedInthis formarenotrequiredtorespond unlesstheformdisplays<sup>a</sup> currently validOMBcontrolnumber\*SEC <sup>1410</sup> (11-05)** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | ScottA.<br>…Read the full text as markdown