Full text of MOGUL SECURITIES, LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). 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 # ANNUAL **AUDITED** REPORT FORM **X~17A-5** PARTUI 0MB APPROVAL OMBNumber: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer resoonse .....• 12.00 > SEC FILE NUMBER s-69524 FACING PAGE Information Required of Brokers and Dealers Pursuut to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING Q 1 /Q 1/2019 | | AND ENDING 12/31/2019 | | | |--------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------|--------------------------------|--| | | MM/DD/YY | | MMJDD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Mogul Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRMI.D.NO. | | | | 10780 Santa Monica Blvd, Suite 140 | | | | | | (No. and Street) ' | | | | | Los~ss | CA | 90025 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Jilliene Helman | | | 310-907-7129 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTU'ICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Jennifer Wray CPA PLLC | | | | | | | (Name- if individual. state last,jirst, middle name) | | | | | 16418 Beewood Glen Dr. | Sugar Land | TX | 77498 | | | (Address) | (City) | (State} | (Zip Code) | | | CHECK ONE: | | | | | | ~Certified Public Accountant | | | | | | Public Accountant | | | | | | D | Accountant not resident in United States or any of its possessions. | | | | | | FOR OIF'flCIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis far the exemption. See Section 240.17a-5(e)(2)* SEC 1410 (11-05) Potential persons who are to respond to the collection of Information contained ln this form are not required **to** respond unless the form displays a currentlyvalid OMS control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, Jilliene Helman | , swear (or affirm) that, to the best of | | | | | |---------------…Read the full text as markdown