Full text of MOODY SECURITIES, LLC's X-17A-5/A filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION REQUIRED BY SEC RULE 17A-5 DECEMBER 31, 2020 {1}------------------------------------------------ ## Table of Contents ### December 31, 2020 | | Page | |----------------------------------------------------------------------------------------------------|--------| | Annual Audited Report Form X-17A-5 Part III Facing Page | 1 - 2 | | Report of Independent Registered Public Accounting Firm on Financial Statements | 3 - 4 | | Statement of Financial Condition | 5 | | Statement of Operations | 6 | | Statement of Changes in Member's Equity | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements | 9 - 13 | | Supplemental Information: | | | Schedule I: Net Capital Computation Under Rule 15c3-1 of the<br>Securities and Exchange Commission | 14 | | Schedule II: Exemption from SEC Rule 15c3-3 | 15 | | Report of Independent Registered Public Accounting Firm on Exemption Report | 16 | | Exemption Report | 17 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Ex pi res: October 31, 2023 Estimated average burden hours oer resoonse ...... 12.00 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll** SEC FILE NUMBER 8-68069 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT fOR THE PERIOD BEGINNING 01/01 /2020 | | AND ENDING ~~~~ | 12/31 /2020 ~~~~~~~ | | |----------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|-----------------|--------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Moody Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS Of PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | | 9655 Katy Freeway, Suite 600 | | | | | | | (No. and Street) | | | | | Houston | Texas | 77024 | | | | (City) | (Slate) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Robert Engel | | (713) 977-7500 | | | | | | | (Arca Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ·ACCOUNTANT whose opinion is contained in this Report* | | | | | | Frazi…Read the full text as markdown