Full text of MENTOR SECURITIES, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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, 2022 (Confidential Pursuant to Rule 17a-5(e)(3)) {1}------------------------------------------------ | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: I 2 | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-67923 | | | | | PART Ill | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | FILING FOR THE PERIOD BEGINNING 01 /01 /22 | | AND ENDING 12/3 | 1 f22 | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: MENTOR SECURITIES, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>200 N. WESTLAKE BOULEVARD, SUITE 204 | | | D Major security-based swap participant | | | | | (No. and Street) | | | | | | WESTLAKE VILLAGE | CA | | 91362 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Mark T Manzo | (201) 519-1905 | | mmanzo@moppartners.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LMHS, P.C. | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 80 Washington St, Bldg S | Norwell | MA | 02061 | | | | (Address)<br>02/24/2009 | (City) | (State)<br>3373 | (Zip Code) | | | | rt,<br>of Reg;matioo w;th PCAOB)(;f appUcable) | | | (PCAOB Reg;matioo N ,mbec, ;f appUcable) I | | | | | FOR OF…Read the full text as markdown