Full text of MOODY SECURITIES, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ ## **TABLE OF CONTENTS MOODY SECURITIES, LLC December 31, 2023** | Annual Audited Report Form X-17 A-5 Part III Facing Page | | |----------------------------------------------------------------------------------------------------|----| | 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 | 15 | | Schedule II: Exemption from SEC Rule 15c3-3 | 16 | | Report of Independent Registered Public Accounting Firm on Exemption Report | 17 | | Exemption Report | 18 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART Ill | | | | | | SEC FILE NUMBER | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------| | | | FORM X-17A-5 | | | 8-68069 | | | | 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 /2023 | | | AND ENDING 12/31 /2023 | | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Moody Securities, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>D Check here if respondent is also an OTC derivativ…Read the full text as markdown