Full text of ANICO FINANCIAL SERVICES, INC.'s X-17A-5 filed 2020-03-03. Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **ANICO Financial Services, Inc.** Report of Independent Registered Public Accounting Firm Statement of Financial Condition December31, 2019 and 2018 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31,2020 Estimated average burden hours perresponse ...... 12.00 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-68938 | 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 | | January 1, 2019 | AND ENDING | December 31,2019 | | | |---------------------------------------------------------------------------------------------|----------|-------------------------------------------------------|------------|--------------------------------|-------------------|--| | | | MM/00/YY | | MM/00/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF BROKER-DEALER: ANICO Financial Services, Inc. | | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM J.D. NO. | | | | One Moody Plaza, Suite 1469 | | | | | | | | | | (No. and Street) | | | | | | Galveston, TX 77550-7999 | | | | | | | | (City) | | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Suzanne Saunders | | | | | 281-521-3469 | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | BKD, LLP | | | | | | | | | (Name - if individual, state last,flrst, middle name) | | | | | | 2700 Post Oak Boulevard, Ste. 1500 | | Houston | TX | | 77056 | | | (Address) | (City) | | (State) | | (Zip Code) | | | CHECK O NE: | | | | | | | | []]certified Public Accountant | | | | | | | | Public Accountant | | | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | *•ctaimsfor exemption/rom 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 240.1 7a-5(e)(2)* > Potential pers…Read the full text as markdown