Full text of SENDERO SECURITIES, LLC's X-17A-5 filed 2023-02-23 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORTS FORM X-17A-5 > > PART III | Estimated average burden<br>hours per response:<br>12 | |-------------------------------------------------------| | SEC FILE NUMBER | | 8-67834 | OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | Filing for the period beginning 01/01/22 | | 12/31/22<br>AND ENDING | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Sendero Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 250 W. Nottingham, Suite 300 | | | | | | | (No. and Street) | | | | | San Antonio | | Texas | | 78209 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Lori Darchicourt | 317.210.1076 | | | Idarchicourt@sendero.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Phillip V. George, PLLC | | | | | | 5179 CR 1026 | (Name - if individual, state last, first, and middle name)<br>Celeste | | X | 75423 | | (Address) | (City) | | (State) | (Zip Code) | | 02/24/2009 | | | 3366 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond uniess the form displays a currently valid OMB control number. {1}-------------…Read the full text as markdown