Full text of NEXPOINT SECURITIES, INC.'s X-17A-5/A filed 2022-05-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS SEC FILE NUMBER | | FORM X-17A-5 | | | 8-69128 | |------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|------------|-----------------|--------------------------------------------| | | PART III | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | filing for the period beginning 01/01/21 | | AND ENDING | 12/31/21 | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | name of firm: Nexpoint Securities, Inc | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Check here if respondent is also an OTC derivatives dealer | l Broker-dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 200 Crescent Court, Suite 700 | | | | | | | (No. and Street) | | | | | Dallas | TX | | | 75201 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Brian Mitts | (972) 628-4100 | | | BMitts@Nexpoint.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | BKD, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 2700 Post Oak Blvd., Ste 1500 | Houston | | Texas | 77056-5829 | | (Address) | (City) | (State) | | (Zip Code) | | October 16, 2003 | | 686 | | | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ # OATH OR AFFIRMATION | S…Read the full text as markdown