Full text of RHCA SECURITIES, LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | | OMB APPROVAL | |--------------------------|---------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | Estimated average burden | | | | hours per response 12.00 | # SEC FILE NUMBER B-69439 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 01/01/2019 | | ~~ | AND ENDING 12/31/2019<br>~~~<br>~~<br>~ | | |-------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|-----------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: RHCA Securities, LLC | | | OFFICIAL US.E ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | | 5065 Westheimer, Suite 604 | | | | | | | (No. and Street) | | | | | Houston | Texas | | 77056 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Kristy Johnson | | | | | | | | | (Area Code - Telephone NL1mber) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | EEPB, P.C. | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 2950 North Loop West, Suite 1200 Houston | | Texas | 77092 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | lv'lcertified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accounlant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accounian! must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(2)* SEC 1410 (06-02) 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 OMB control number. {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | !, Kevin Regan | , swear…Read the full text as markdown