Full text of ASHFORD SECURITIES LLC's X-17A-5 filed 2021-03-15 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Wasbiugton, D.C. 20549 | | OMS APPROVAL | | |------------|---------------------------|--| | OMBNumber: | | | | | Expires: October 31, 2023 | | | | Estimated average burden | | | | hours per respanse 12.00 | | | | SEC FILE NUMBER | | | | 8-<br>70405 | | ## **ANNUAL AUDITED REPORl FORM X-17A-5 PART** Ill ## FACING PAGE Information Requh·ed 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 | 01/01/2020<br>~~~~~~~~~~~~ | AND ENDING | 12/31/2020<br>~~~__;___;_;;;.~~~~~ | | | |---------------------------------------------------------------------------|-----------------------------------------------------------|------------|------------------------------------|--|--| | | MM/DD/YY | | MM/DDNY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | | | | | | | ASHFORD SECURITIES LLC | | | Of'FICIAL US!O ONLY | | | | | | | FIRM ID.NO. | | | | ADDRESS OP PJUNCIP AL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | 14185 DALLAS PARK.WAY, SUITE 780 | | | | | | | (No. and St=I) | | | | | | DALLAS | 75254 | | | | | | (Citvl | (Stale) | | (Zip Code) | | | | | | | (Arc3 Cod~ - Telephone No.) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | McBee & Co., PC | | | | | | | | (Nomo -- if /11dN/d11a/, stale last. {lrst. middle name l | | | | | | 718 Paulus Ave | Dallas | TX | 75214 | | | | (Address) | (Cily) | (Stnte) | (Zip Code) | | | | CHECK ONE: I!) | | | | | | | Certified Public Accounlanl<br>0 Public Accountant | | | | | | | D Accountant not resident in United States or nny of its possessions | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | *\*Claims for exemption from the requirement that the a111111a/ report be co1•erec/ by the opi11io11 of* a11 *indepe11de11/ public acco11111a11t must be supported by a statemellf of facts and circ11111stn11ccs relied* 011 *as the basis for the exemption. See section 240.* / *7a-5(e)(2).* > Potential parsons 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 (06-02) {1}------------------------------------------------ | | OAT~ AFFIRMATION | |---|------------------------------------------------…Read the full text as markdown