Full text of MOODY SECURITIES, LLC's X-17A-5 filed 2023-03-07 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # MOODY SECURITIES, LLC # FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION REQUIRED BY SEC RULE 17A-5 DECEMBER 31, 2022 {1}------------------------------------------------ # TABLE OF CONTENTS MOODY SECURITIES, LLC December 31, 2022 | | Page | |----------------------------------------------------------------------------------------------------|------| | Annual Audited Report Form X-17A-5 Part III Facing Page | 1 | | Report of Independent Registered Public Accounting Firm on Financial Statements | 3 | | 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 | | Supplemental Information: | | | Schedule I: Net Capital Computation Under Rule 15c3-1 of the<br>Securities and Exchange Commission | 16 | | Schedule II: Exemption from SEC Rule 15c3-3 | 17 | | Report of Independent Registered Public Accounting Firm on Exemption Report | 18 | | Exemption Report | 19 | {2}------------------------------------------------ | 9655 Katy Freeway, Suite 600 | | |------------------------------|--| |------------------------------|--| | | | (No. and Street) | | | |----------------------------------------------------------------------------------------------------|--|------------------------------------------------------------|--------------------------------------------|----------------------------| | Houston | | Texas | | 77024 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Robert Engel | | 713-977-7500 | | rengel@moodysecurities.com | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Frazier & Deeter, LLC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 1230 Peachtree Street, Suite 1500 Atlanta | | | Georgia 30309 | | | (Address) | | (City) | (State) | (Zip Code) | | 10/14/2003 | | | 215 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | {3}------------------------------------------------  - - - - - - - - - - - - - - - - - - - - - - - - - - - {4}------------------------------------------------  # REPORT OF INDEP…Read the full text as markdown