Full text of HAROLD W. DANCE INC.'s X-17A-5/A filed 2022-04-12 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-S** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **PART Ill** SEC FILE NUMBER 008-12160 FACING PAGE **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2021** MM/DD/VY AND ENDING **12/31/2021** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: HAROLD DANCE INVESTMENTS TYPE OF REGISTRANT (check all applicable boxes): E!J Broker-dealer D 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.) 360 N MAIN ST (No. and Street) LOGAN UT 84321 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING DANIEL J. NEELEY 435-752-8484 DAN@HAROLDDANCE. COM (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* AJSH & CO. LLP (Name -if individual, state last, first, and middle name) A-94/8, WAZIPUR INDUSTRIAL AREA, MAIN RING ROAD **N EW DEL H** I (Address) (City) INDIA (State) 02/10/2009 3223 110052 (Zip Code) **FOR OFFICIAL USE ONLY {PCAOB Regiwatioo N,mbec, if appUcable} I** \* 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-S(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. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** **1** **,** STEPHEN F. NEELEY , **swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of** HAROLD DANCE INVESTMENTS **as of** **12/31 2\_\_21 \_, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.** **STATE OP trrA!!)** **COUNTY OP CACHE)** **SUBSCRIBED l\ND SWORN T…Read the full text as markdown