Full text of MOODY SECURITIES, LLC's X-17A-5 filed 2022-03-25 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ ## *Table of Contents* ## *December 31, 2021* | | 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}------------------------------------------------ | 68069 | | |-------|--| 01/01/2021 12/31/2021 Moody Securities, LLC ✔ | 9655<br>Katy | Freeway, | Suite | 600 | |--------------|----------|-------|-----| |--------------|----------|-------|-----| | Houston | Texas | 77024 | | | |-----------------------------------------------|--------------|----------------------------|--|--| | | | | | | | | | | | | | Robert<br>Engel | 713-977-7500 | rengel@moodysecurities.com | | | | | | | | | | | | | | | | | | | | | | Frazier<br>&<br>Deeter,<br>LLC | | | | | | | | | | | | 1230<br>Peachtree<br>Street,<br>Suite<br>1500 | Atlanta | Georgia<br>30309 | | | | | | | | | | 10/14/2003 | 215 | | | | | | | | | | | | | | | | | | | | | | {3}------------------------------------------------ | Robert Engel | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of Moody Securities, II C. | | as of | | December 31<br>as that of a customer. | , 2021 , is true and correct. I further swear (or affirm) that neither the company nor any<br>partner, officer, director, or equivalent person, as the case may be, has any pr…Read the full text as markdown