Full text of PPHB SECURITIES LP's X-17A-5 filed 2020-02-07 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** # hours per response 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** OMB APPROVAL OMB Number: 3235-0123 Expires: August 31,2020 Estimated average burden | SEC FILE NUMBER | |-----------------| | s-66550 | **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<br>THE PERIOD BEGINNING | 01/01/2019 | 12/31/2019<br>AND ENDING | | | |-------------------------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------------|-----------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | REGISTRANT<br>IDENTIFICATION<br>A. | | | | | NAME OF BROKER-DEALER: PPHB<br>Securities,<br>LP | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O.<br>Box No.) | | | FIRM I.D.<br>NO. | | | 1900<br>Saint<br>James<br>Place, | STE<br>125 | | | | | | ( No. and Street ) | | | | | Houston | TX | | 77056 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Michael Schaps | | | 281-367-2454 | | | | | | (Area Code -<br>Telephone Number) | | | B. | ACCOUNTANT<br>IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Phillip<br>V.<br>George,<br>PLLC | | | | | | | (Name -if<br>individual, slate last, fu st, middle name ) | | | | | 1026<br>5179<br>CR | Celeste | TX | 75423 | | | ( Address) | (City) | (State) | (Zip Code ) | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant | 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 offacts 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 valid OMB control number.** (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMAT…Read the full text as markdown