FOCUS Report Vestech Securities, Inc.

X-17A-5/A [Amend] [Paper] - FOCUS Report

Published: 2004-09-24 15:09:11
Submitted: 2004-09-21
Period Ending In: 2004-06-30
scanned.pdf Scanned paper document


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                                                                                      FORM X—17A—5                         <    5’                                  SEC FiLE NUMBER
                                                                                             PART IH                                                                s. 8—49409
                                                                                           FACING PAGE
                                       Information Required of Brokers and Dealers Pursuant to Section 17 of the
                                              Sccuritics Exchange Act of 1934 and Rule 17a—+5 Thereunder

                  REPORT FOR THE PERIOD BEGINNING                                     _.._07/01/03                         AND ENDING__06/30/04
                                                                                                 MM/DDIYY                                                 MMMOYY

                                                                     A. REGISTRANT IDENTIFICATION

                  NAME OF BROKER—DEALER:                            Vvestech Securitices,                         Inc.                                    OHHC%EUSFONUY
                  ADDRESS OF PRINCIPAT PLACE OF RUSINESS: (Mo not use P.O. Rox No )                                                                       »_:m _
                  —BTUOO Ro2nd St., Nea th #h, hidg. goo                                                                                                 o;&/ RECEIVED
                                                                                                                                                                                   004\>
                                                                                             (No and Street)

                       wWichi ta                   _                                                  KS                   .                        \\
                                                                                                                                                     E 6
                                            (City)                                                    (State)                                       (Z\pCuf{g}\


                 NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT “‘9\0\” 79 c;o
                                                                                                                                                     (Arca Code — Tclcuhw/Numbu)

                                                                    B. ACCOUNTANT IDENTIFICATION                                                                                V
                  INDEPENDENT PUBLIC ACCOVNTANT whose opinion is contained in this Report®
                  Hanneman &                 Hewitt,              PA
                                                                                 (Nome — i indivicdual. state last, firs:. midule nume}


                  229 E. William,                           Suite 310                     Wichita                                                   KS                                 67202
                           (Address)                                                    (City)    ;                                       (State)                              (Zip Code)

                  CHECK ONE:
                                K Certificd Public Accountant                                                                                            Q@CESSED
                                0 Public Accountant                                                                                                       a
                                                                             »                           C                                               SEP 27 2004
                                Q Accountant not resident in United States or any af its posscssions
                                                                                                                       ~                                      paditvcs   A


                                                                                 FOR OFFICIAL USE ONLY                                                        FINANCGIA;_




                  *Claims for exemption from the requivrement that the annual report he covered by the opinion of an independent public acconntaunt
                  musxt be supported by a statement offacis and civemnstances relied an at the basis for the exemption. See Section 240. 17a—S5(et2)



                                                                Potential persons who are to respond to the collection of                                                                          \@
                                                                information contained in this form are not required to respond
                        SEC 1410 (06—02)                        unless the farm dlaplnys a currently valid OMB control number.


                                                                    C   C    C
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                                *            *                  OATH OR AFFIRMATION

           1. —Efifarle W..                 EVans,       _LI L   |                                       , swear (or affirm) that, to the best of
           my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of
                    Vestech Securities, Inc,                                                                                                  , as
           of _ lune 30                                                     , 20_Q 4    , are true and correct. 1 further swear (or affirm) that
           ncither the company nor any partner, proprictor. principal officer or director has any proprietary inlerest in any account
           classified solely as that of a custamer, except as fallows:




                                                                                       %%«-«v<®
                                                                                                       Signature

                                                                                       President
                                                                                                         Title



                                    Notary Public                                                          .

           This report ** contains (check all applicable hoxes):                                       o«*“‘,”‘%     PATRICIA A. MCCUL_OUGH
           & (a) Facing Page.                        .                                                 io Tean.;     MY COMMISSIONEXPIRES
           C (b) Statement of Financial Condition,                                                     Hpmge             February 26, 2006
           & (c) Statement of Income (Loss).                                                               —
           5J (d) Statement of Changes in Financial Condition.
           Y¥ (e) Statement of Changes in Stockholders‘ Equity or Partners®‘ or Sole Proprictors‘ Capital.
           (%¥ (f) Stetement of Changes in Liabilities Subordinated to Claims of Creditors.
            5J (g) Computation of Net Capital.
            ® (h) Computation for Determination of Reserve Requirements Pursuant to Rule 1§5¢3—3.
            & (i) Information Relating to the Posseasion or Control Requirements Under Rule 15c3—3.
            H (j) A Reconciliation, including appropriate explanation of the Computation of Net Capital Under Rule 15c3—3 and the
                  Computation for Determination of the Keserve Requirements Under Exhibit A of Rule 15c3—3.
            C (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of
                  consolidation.
            ® (1) An Oath or Affirmation.
            Q {m) A copy of the SIPC Supplemental Report.
            O (n) A report describing any matcrial inadequacies found to exist or found to have existed since the date of the previous audit.

            **For conditions of confldential treatment of certain portions of thit filing, see section 240. 170—5(e)(3).


Via Certified Mail
                                                                                       NASD        ;#
                                                                                         immnceoseaneo
                                                                                                                         /,/




Return ReceiptRequested                                                                                  .°’;‘:;"av'
                                                                                                            0@@

September 16, 2004




Mr. Earle W. Evans, 111
President
Vestech Securities, Inc.
8100 E. 22nd Street, North #B Bldg. 600
Wichita, KS 67226

Dear Mr. Evans:

This letter acknowledges receipt of your June 30, 2004 annual filing of audited financial statements
made pursuant to U.S. Securities and Exchange Commission (SEC) Rule 17a—5(d) (the Rule). The
report as submitted appears deficient in that it did not contain the following:

    1.   Facing Page (Form X—17—5 Part T); and

    2.   An Oath or Affirmation (Signed by duly authorized officer etc. and notarized).

Based on the above, yourfiling does not comply with the requirements of the Rule. The text of the
Rule is reproduced in the N4SD Manual under the section titled SEC Rules & Regulation T. We urge
you to review the Rule with your independent accountant.

Pursuant to the provisions of NASD Rule 82 10, we request that you send one copy of each item(s)
listed above to this office and to the appropriate SEC Regional or District Office, and two copies to the —
SEC Washington, D.C. Office. Your submissions must include a new completed Form X—17A—5 Part
J Facing Page, a copy of which is enclosed for your convenience.

Please respond to this matter by September 24, 2004. Questions may be addressed to the undersigned,
at 816—802—4741.




Field Supervisor

RPE/ke
Enclosure       [Form X—17A—5 Part 1II Facing Page]




                                                                        Kansas City District Office
                                                                        120 West 12th Street, Suite 00     tel 816 421 5700
                                                                       _KancaeCifu _AAM___________.         L mar ask easa



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