Full text of PPHB SECURITIES LP's X-17A-5 filed 2022-02-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES** OMB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, <sup>D</sup>.C. 20549** | OMB Number: 3235-0123 | | |--------------------------|----| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | ## **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-66550 **FACING PAGE Information Required Pursuant to Rules <sup>17</sup>a-5, <sup>17</sup>a-12, and <sup>18</sup>a-<sup>7</sup> under the Securities Exchange Act of <sup>1934</sup>** FILING FOR THE PERIOD BEGINNING <sup>01</sup>/01/<sup>2021</sup> <sup>12</sup>/31/<sup>2021</sup> AND ENDING MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** PPHB Securities, LLP NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): <sup>B</sup> Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> <sup>P</sup>.O. box no.) 1885 St. James Place, STE 900 (No. and Street) Houston TX <sup>77056</sup> (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Michael Schaps <sup>281</sup>-367-<sup>2454</sup> michael.schaps@leaavelaw.com (Email Address) (Name) (Area Code -Telephone Number) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Phillip <sup>V</sup>. George, PLLC (Name -if individual, state last,first,and middle name) <sup>5179</sup> CR <sup>1026</sup> Celeste TX <sup>75423</sup> (Address) 02/24/2009 (City) (State) (Zip Code) 3366 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \*Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays <sup>a</sup> currently valid OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** #### **<sup>i</sup>,** Michael Schaps | financial report<br>pertaining to the firm<br>of<br>December<br>31 | swear (or affirm) that,<br>to the best of<br>my knowledge and<br>belief, t…Read the full text as markdown