Full text of RHCA SECURITIES, LLC's X-17A-5 filed 2021-03-10 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-01 23 Expires: October 31 , 2023 Estimated average burden hours per response .. . . .. 12.00 SEC FILE NUMBER 8-69439 # **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 BEGINNING01/01/2020 | | AND ENDING 12/31/2020 | ~~~~~~~~~~ | | |------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------|------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: RHCA Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do ~ot use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM l.D. NO. | | | | | | | | | 5065 Westheimer, Suite 604 | | . ' | | | | Houston | (No. and Street)<br>· ·· · Texas | | 77056 | | | (City) | (State) | | (Zip Code) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>EEPB, P.C. | B. ACCOUNT ANT IDENTIFICATION | | (Area Code - Telephone Number) | | | | (Name - if individual, state last, first, middle name) | | | | | 2950 North Loop West, Suite 1200 Houston | | Texas | 77092 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | II' I<br>certified 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 from the requirement that the annual report be covered by the opinion of an independent public accountant mus/ be supported by a slatement offac/s and circumslances relied on as lhe basis for the exemption. See Section 240. /7a-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 OMB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Kevin Regan | , swear (or a ffirm) lhat, to the best of | |----------------------------------------------------------------------------------------------------------------------------|----…Read the full text as markdown