Full text of FIRST MIDSTATE INC.'s X-17A-5 filed 2020-09-04 (period 2020-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIESANDEXClIANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August31,2020 Estimated average burden hours oerresnnnse .•.•.. 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill SEC FILE NUMBER a-11575 FACING PAGE Information Required 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 7/01/2019 | | | AND ENDING6/30/2020<br>~~~~~~~~~~<br>MM/DD/YY | | |-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|-----------------------------------------------|--| | | MM/DDIYY | | | | | | A. REGISTRANT IDENTIFICAT19N | | | | | NAME oF BROKER-DEALER; First Midstate Incorporated:;; | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>306 N. Main Street, Suite 3 | | | FIRM l.D. NO. | | | | (No. and Street) | | | | | Bloomington | IL | | 61701 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBE).l OF PERSO:i.\f To CONTACT IN REGARD TO nns REPORT | | | | | | | | | (Area Code- Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Kerber, Eck & Braeckel LLP Certified Public Accountants | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 3200 Robbins Road, Suite 200A | Springfield | IL | 62704 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL 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 for the exemption. See Section 240.17a-5(e)(2)* > Potential persons 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 (11-05) {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | r, _P_a_u_I D_. _B_ro_w_n _______________________ , | swear (or a…Read the full text as markdown