Full text of MAULDIN SECURITIES, LLC's X-17A-5 filed 2021-03-01 (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** | OMB APPROVAL | | | |--------------------------------------|--------------------------------|--| | | 3235-0123 | | | | | | | Expires:<br>Estimated average burden | | | | 12,00<br>hours per response | | | | | OMB Number:<br>October 31,2023 | | | SEC FILE NUMBER | |-----------------| | s-66127 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the** | 01/01/20<br>MM/DD/YY<br>REGISTRANT<br>IDENTIFICATION<br>Securities,<br>LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS:<br>(Do not use P.O.<br>( No. and Street )<br>Texas<br>(State )<br>NAME AND TELEPHONE NUMBER OF PERSON<br>TO CONTACT<br>ACCOUNTANT | 12/31/20<br>AND ENDING<br>Box No.)<br>75209<br>(Zip Code )<br>IN REGARD TO THIS REPORT | MM/DD/YY<br>OFFICIAL USE<br>FIRM I.D.<br>NO.<br>214-526-9155<br>( Area Code -Telephone | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | ONLY | | | | Number) | | | | | | | | | | | | | | | | | | | | | | | | | | | IDENTIFICATION | | | | | | | | | | | Dallas | | 75209 | | | | (Zip Code ) | | FOR<br>OFFICIAL<br>USE | | | | | ( Name -if<br>(City ) | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report *<br>individual, slate last, first, middle name )<br>Texas<br>(State )<br>Accountant not resident in United States or any of its possessions.<br>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 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 contained in this form are not required to respond** SEC <sup>1410</sup> **unless the form displays <sup>a</sup> currently validOMBcontrolnumber.** (11-05) {1…Read the full text as markdown