Full text of TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC's X-17A-5 filed 2023-02-24 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION Tudor, Pickering, Holt & Co. Securities LLC With Report of Independent Registered Public Accounting Firm As of December 31, 2022 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION W ashington, D.C. 20549 **ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE** 0 MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE **NUMBER** 8-66251 **Information Required Pursuant t o Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /22** MM/0 0/YY AND ENDING 12131 / 22 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM : Tudor, Pickering, Holt & Co. Securities LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Majo r security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1111 Bagby St, Ste 5100 (No. and Street} Houston TX 77002 (City} (State} (Zip Code} PERSON TO CONTACT WITH REGARD TO THIS FILING Alexandra Gottschalk (713) 333-7106 agottschalk@pwpartners.com (Name} (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in this filing\* Ernst & Young **LLP** (Name - if individual, state last, first, and middle name} One Manhattan West New York NY 10001 (Address} (City) (State) (Zip Code} 10/20/2003 42 **FOR OFFICIAL USE ONLY {PCAOB Reg;su,uoa N,mbec, ;f ,ppn~bl•I** I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of fact s and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e}(l)(ii), if applicable. Persons w ho are to respond to the collection of information contained in t his form are not required to respond unless the form displays a currently valid 0 M B control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | 1, | | Alexandra Gottschalk | |----|--|----------------------| |----|--|----------------------| I, Alexandra Gottschalk swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Tudor, Pickering, Holt & Co. Securities LLC as of 12/31…Read the full text as markdown