Full text of COOPER MALONE MCCLAIN, INC.'s X-17A-5 filed 2021-02-19 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Report of Independent Registered Public Accounting Firm and Statement of Financial Condition December 31, 2020 {1}------------------------------------------------ # PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | QMB APPROVAL | | |-----------------------------|------------------| | QMB Number. | 3235-0123 | | Expires: | October 31, 2023 | | Estimated average burden | | | hours per response. . 12.00 | | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | | SEC FILE NUMBER | |---------|--|-----------------| | 8-36959 | | | 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 BEGINING | JANUARY 1, 2020 | AND ENDING | DECEMBER 31, 2020 | | |----------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------------------|--| | | MM/DD/YY | | . MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF BROKER DEALER: | COOPER MALONE MCCLAIN, INC. | | OFFICAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID, NO. | | | | 7701 E. KELLOGG, SUITE 700 | | | | | | (No. and Street) | | | | | WICHITA | KS | | 67207-1706 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>JOHN COOPER | | | 316-685-577<br>(Area Code - Telephone No.) | | | | | | | | | | B. ACCOUNTANT DESIGNATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | OHAB AND COMPANY, PA | | | | | | (Name - if individual, state last, first, middle name) | | | | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND | | BLORIDA | 32751 | | | (Address and City) | | (State) | (Zip Code) | | | CHECK ONE: | | | | | | [X] Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \* Claims for exemption from the reguirement that the annual audit 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 inf…Read the full text as markdown