Full text of MENTOR SECURITIES, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Mentor Securities, LLC Financial Statements and Supplementary Information For the Year Ended December 31, 2021 (Confidential Pursuant to Rule 17a-5(e)(3)) {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER 8-67923 **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 /21** AND ENDING **12/31 /21** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Mentor Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): **!iii** Broker-dealer O Security-based swap dealer 0 Major security-based swap participant 0 Check here if respondent ls also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 200 N. Westlake Blvd., Suite 204 | | | B. ACCOUNTANT IDENTIFICATION | | | |---------------|----------------------------------------------|--------------------------------|------------------------|--| | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | Mark T. Manzo | | (201) 519-1905 | mmanzo@moppartners.com | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | (City) | (State) | (Zip Code) | | | | Westlake Village | CA | 91362 | | | | | (No. and Street) | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## LMHS, P.C. | | (Name- if individual, state last, first, and middle name) | | | |--------------------------------------------------|-----------------------------------------------------------|---------|------------------------------------------| | 80 Washington St, Bldg S | Norwell | MA | 02061 | | (Address) | (City) | (State) | (Zip Code) | | 02/24/2009 | | 3373 | | | r•<br>of Reglstcatloo with PCAOB)(lf applicable) | | | (PCAOS Regls,rafam N"mbec, If appH~••I I | | | 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 a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **P…Read the full text as markdown