Full text of JOE JOLLY & CO., INC.'s X-17A-5 filed 2021-11-01 (period 2021-08-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION YEAR ENDED AUGUST 31, 2021 Field as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, O.C. 20549 | ANNUAL REPORTS | | | | |----------------|--|--|--| | FORM X-17A-5 | | | | | PART Ill | | | | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estlmated average burden hours per response: 12 SEC FILE NUMOER #### **FACING** PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 9/01/2020 MM/DD/YY AND ENDING \_\_ 8:...../ 3\_1\_;\_/\_2\_0\_21 \_\_\_ \_ **MM/DD/VY A. REGISTRANT IDENTIFICA"ilON** NAME OF FIRM: \_\_ J\_O\_E\_ J\_O\_L\_LY---'-\_&\_c\_o\_MP\_A\_NY--'-,.\_I\_N\_C\_. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): rn Broker-dealer D Security-based swap dealer D 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.) 420 No 20th St., Suite 2350 Birmingham (City) (No. and Street) AL (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Joe Jolly, J r. (205) 252--2105 35203 (Zip Code) (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEP'ENDENT PUBLIC ACCOUNTANT whose reports are contained In this filing\* Mauldin & Jenkins LLC, C:PAs (Name - if individual, state last, first, and middle name) 2000 Southh.ridge Pkwy, Su i.te 501 (Address) 10/14/2003 (City) Birmi\_ngham AL (State) 669. 35209 (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. 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 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | Joseph D. Jolly, Jr·<br>I, | , swear (or affirm) that, to the best of my knowledge and b…Read the full text as markdown