Full text of MENTOR SECURITIES, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Mentor Securities, LLC** **Statement of Financial Condition** **For the Year Ended December 31, 2023** {1}------------------------------------------------ #### **Mentor Securities, LLC** #### **December 31, 2023** #### **Table of Contents** | Facing page and Oath or Affirmation Page | 1-2 | |--------------------------------------------------------|-----| | Report oflndependent Registered Public Accounting Firm | 3 | | Financial Statements | | | Statement of Financial Condition | 4 | | Notes to the Financial Statements | 5-8 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,·D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | 8-69723 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /23** MM/00/YY AND ENDING **12/31 /23** MM/00/YY **I** **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: MENTOR SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 200 N. WESTLAKE BOULEVARD, SUITE 204 | | (No. and Street) | | | | | |-----------------------------------------------------------------------------------------|-------------------------------|-----------------|------------------------|--|--| | WESTLAKE VILLAGE | CA | | 91362 | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Mark T Manzo<br>(201) 519-1905 | | | mmanzo@moppartners.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LMHS, P.C. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 80 Washington St, Bldg S | Norwell | MA | 02061 | | | | (Address) | (City) | (State) | (Zip Code) | | |----------------------------------------------|-----------------------|-------------------------------------------|------------|--| | 02/24/2009 | | 3373 | | | | t, of Reg;stcatloo w;t…Read the full text as markdown