Full text of SENDERO SECURITIES, LLC's X-17A-5 filed 2024-02-23 (period 2023-12-31). 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 | OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 | SEC FILE NUMBER | | | |-----------------|--|--| | 8-67834 | | | (PCAOB Registration Number, if applicable) FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/23 FILING FOR THE PERIOD BEGINNING 01/01/23 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Sendero Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): O Major security-based swap participant E Broker-dealer [ Security-based swap dealer 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) 78209 San Antonio X (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Idarchicourt@sendero.com 317.210.1076 Lori Darchicourt (Email Address) (Area Code - Telephone Number) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Phillip V. George, PLLC (Name - if individual, state last, first, and middle name) 75423 IX 5179 CR 1026 Celeste (State) (Zip Code) (City) (Address) 3366 02/24/2009 \* 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 facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. FOR OFFICIAL USE ONLY (Date of Registration with PCAOB)(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 a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | | | as of | |--|--------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | tinancial report pertaining to t…Read the full text as markdown