Full text of RHCA SECURITIES, LLC's X-17A-5 filed 2019-03-14 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGECO.MMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31 , 2020 Estimated average burden hours per response .... .. 12.00 SEC FILE NUMBER B-69439 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | REPORT FOR THE PERIOD BEGINNING 01/01/2018<br>AND ENDING 12/31/2018 | | | | |---------------------------------------------------------------------------|---------------------------------------------------------------------------|--|-------------------------------------|-------------------------------| | | MMIDD/YY | | -----------------------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: RHCA Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 5065 Westheimer, Suite 604 | | | | | | | (No. and Street) | | | | | Houston | Texas | | | 77056 | | (City) | (State) | | (Zip Code) | | | Kristy Johnson | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | (Area Code- Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Marcum LLP | | | | | | | (Name- if indi•·idU<!I, Sl<!le las/, firs/, middle name) | | | | | 6002 Rogerdale Road, Suite 300 | Houston | | Texas | 77072 | | (Address) | (City) | | (State) | (Zip Code) | | CHECK ONE:<br>j y' jcertified Public Accountant<br>B<br>Public Accountant | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption fi'om the requiremem that the annual report be covered* by *the opinion of an independent public accountant must be supported by a statement ojfacts and circumstances relied on as the basis for tlze exemption. See Section 240.17a-5(e}(2)* > Potential 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 OM 8 control number. SEC 1410 (06-02) {1}------------------------------------------------ # **OATH OR AFFIRMATION** | I, Kristy K. Johnson | , swear (or affirm) that, to the best of | |---------------------…Read the full text as markdown