Full text of RIVINGTON SECURITIES, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|--------------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL<br>REPORTS | | SEC FILE NUMBER | | | | FORM<br>X-17A-5 | | 8-65329 | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | 01/01/2022 | | ^2/31/2022 | | | FILING FOR<br>THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | Rivington<br>NAME OF FIRM: | Securities,<br>LLC | | | | | ChecK here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>609<br>Main<br>Street,<br>3900<br>Suite<br>Houstor<br>1<br>(City) | (No. and Street)<br>TX<br>(State) | | 77002<br>(Zip Code) | | | CONTACT WITH REGARD TO THIS FILING<br>PERSON TO<br>A.<br>Scott<br>Logan | 713-750-0900 | | slogan@rivingtoncap.com | | | (Name) | -<br>Telephone Number)<br>(Area Code | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | fT<br>INDEPENDE<br>ims<br>Moss<br>Ad<br>LLP<br>(Name-if | PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Di<br>14555<br>illas<br>Parkway<br>STE | individual, state last, first, and middle name)<br>300<br>Dallas | TX | 75254 | | | (Address)<br>10/16/20<br>03 | (City) | 659 | (State)<br>(Zip Code) | | | (Date of Reglstfation with PCAOB)(lf applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | i<br>Claims for ex<br>accountant<br>CFR 240.17a- >{e)(U(V), If appllcab e. | mption from the requirement that the annual reports be covered by the reports of an independent public<br>n lust be supported by a statement of facts and circumstances relied on as the basis of the ex…Read the full text as markdown