Full text of PPHB SECURITIES LP's X-17A-5 filed 2021-01-27 (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** OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response 12.00 3235-0123 October 31,2023 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | a-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** | Securities | Exchange<br>Act<br>of<br>1934<br>and<br>Rule | 17a-5<br>Thereunder | | | |-------------------------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------------|---------------------------------------|--| | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | 12/31/2020<br>AND ENDING | | | | | MM/DD/YY | | MM/DD/YY | | | A. | REGISTRANT<br>IDENTIFICATION | | | | | NAME OF BROKER-DEALER:PPHB<br>LP<br>SeCUfitieS, | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS:<br>No.)<br>( Do not use P.O. Box | | | FIRM I.D.<br>NO. | | | St.<br>1885<br>James<br>Place, | STE<br>900 | | | | | | (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<br>(Area Code -Telephone | | | B. | ACCOUNTANT<br>IDENTIFICATION | | Number) | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | V.<br>PLLC<br>Phillip<br>George, | | | | | | | (Name -if<br>individual, state last, first, middle name ) | | | | | 5179<br>1026<br>CR | Celeste | TX | 75423 | | | (Address) | (City) | (State) | (Zip Code) | | | ONE:<br>CHECK | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | OFFICIAL<br>USE<br>ONLY<br>FOR | | | | | | | | | | | | | | | | | | | | | | *\*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> **unlessthe form displays <sup>a</sup> currentl…Read the full text as markdown