Full text of TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC's X-17A-5 filed 2020-02-19 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### S TATEMENT OF F INANCIAL C ONDITION Tudor, Pickering, Holt & Co. Securities LLC (formerly Tudor, Pickering, Holt & Co. Securities Inc.) With Report of Independent Registered Public Accounting Firm As of December 31, 2019 {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .• , , •• 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** SEC FILE NUMBER 8-66251 **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 | __<br>__<br>_ 0_1_/_0_1 _/1_9<br>_<br>MM/DD/YY | _ AND ENDING _ | ___<br>1_2_/3_1_/_1 _9 _<br>_ _<br>MM/DD/YY | |------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|----------------|---------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Tudor, Pickering, Holt & Co. Securities, LLC (formerty Tudor, Pickering, Holt & Co. Securities, Inc.) | | | OFFICIAL USE ONL y | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | 1111 Bagby St, Ste 5100 | | | | | | (No. and Street) | | | | Houston | TX | | 77002 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Alexandra Gottschalk, Chief Accounting Officer | (713) 333-7106 | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Ernst & Young LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 5 Times Square | New York | NY | 10036 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | | | | | | !certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE 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…Read the full text as markdown