Full text of RHCA SECURITIES, LLC's X-17A-5 filed 2023-03-07 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number. 323~123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>nours per response: 12 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------|-----------------|------------------------| | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 69439 ' | | | PART Ill | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-1Z, and lBa-7 under the Securities Excha.,.e Act of 1934 | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING 01/01 /2022 | | AND ENDING 12/31 /2022 | | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: RHCA Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>l2J Broker-dealer<br>CJ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1616 Voss, Suite 420 | | | | | | | (No. and Street) | | | | | Houston | Texas | | | 77057 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Kevin Regan | 832-548-0654 | | | kregan@rockhouseca.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing"'<br>EEPB, P.C. | | | | | | | (Name - If Individual, state last, first, and middle name} | | | | | 2950 North Loop West Freeway, Suite 1200 Houston | | | Texas | 77092 | | (Address) | (City) | (State) | | (Zip Code) | | 11/5/2003 | | 879 | | | | (Date of Registration with PCAOB)(lf applicable)<br>(PCAOB Registration Number, if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an Independent public<br>accountant must be supported by a statement of facts and circu…Read the full text as markdown