Full text of NEXPOINT SECURITIES, INC.'s X-17A-5 filed 2024-03-22 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Financial Statements for the Year Ended** **December 31, 2023** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** 8-69128 SEC FILE NUMBER | | FACING PAGE | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--|-----------------|--------------------------------------------| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>1/1/2023<br>12/31/2023 | | | | | | FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________ | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: _______________________________________________________________________ | Nexpoint Securities, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>܆<br>Broker-dealer<br>Security-based swap dealer<br>Major security-based swap participant<br>■<br>܆ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 200 Crescent Court, Suite 700 | | | | | | _____________________________________________________________________________________ | (No. and Street) | | | | | Dallas<br>_____________________________________________________________________________________ | TX | | | 75201 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Sarah Russell<br>_____________________________________________________________________________________ | 631-400-4720 | | | srussell@cxgllc.com | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Forvis, LLP | | | | | | _____________________________________________________________________________________ | (Name – if individual, state last, first, and middle name) | | | | | 2700<br>Post<br>Oak<br>Blvd.,<br>STE<br>______________________________________________…Read the full text as markdown