Full text of T.S. PHILLIPS INVESTMENTS, INC.'s X-17A-5 filed 2021-04-05 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | Expires: | October 31,2023 | | | |--------------------------|----------------------------|--|--| | Estimated average burden | | | | | | 12.00<br>hours perresponse | | | | | | | | OMB APPROVAL OMB Number: | | SEC FILE NUMBER | |---------|-----------------| | 8-65661 | | 3235-0123 **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section <sup>17</sup> of the Securities Exchange Act of 1934 and Rule 17a-<sup>5</sup> Thereunder** | 01/01/20 | | 12/31/20 | |----------------------------------------------------------------------|---------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | MM/DD/YY | | MM/DD/YY | | REGISTRANT | | | | INVESTMENTS,<br>INC.<br>PHILLIPS<br>NAME OF BROKER-DEALER: T.S. | | | | PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>ADDRESS OF | | | | | | | | (No. and Street) | | | | OK | | 73116 | | (State) | | (Zip Code) | | | | 40S-943-9433 | | | | (Area Code -Telephone Number) | | ACCOUNTANT | | | | | | | | | | | | | | 75490 | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | TRENTON | AND ENDING<br>IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name -if individual, state last, first, middle name)<br>TX<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | \**Claims for exemption from the requirement that the annual repor<sup>t</sup> be covered by the opinion of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis for the exemption*. *See Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information containedinthis form are notrequired to respond** SEC <sup>1410</sup> **unless the form displays <sup>a</sup> currently valid OMB controlnumber.** (11-05) {1}---------------------------------------…Read the full text as markdown