Full text of COOPER MALONE MCCLAIN, INC.'s X-17A-5 filed 2022-03-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | PUBLIC | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|-----------------------------------------|-------------------|--------------------------------------------------------------------------------------------------------------------------|--|--| | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | | | | | | | PART Ill | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | AND ENDING 12/31/2021<br>FILING FOR THE PERIOD BEGINNING O 1/01/2021 | | | | | | | | | MM/DD/VY | | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: COOPER MALONE MCCLAIN, INC. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | □ Security-based swap dealer | □ Major security-based swap participant | | | | | | 7701 E. KELLOGG DR., SUITE 700 | | | | | | | | | (No. and Street) | | | | | | | | WICHITA | KS | | 67207 | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | JOHN K. COOPER | 316-685-5777 | | JCOOPER@CMMCI.COM | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>OHAB AND COMPANY, PA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 100 E SYBELIA AVE, SUITE 130 MAITLAND | | | FL | 32751 | | | | (Address)<br>JULY 28, 2004 | (City) | | (State)<br>1839 | (Zip Code) | | | | l"<br>of Reg;matioo with PCAOB)lif applicable) | | | | I<br>(PCAOB Reg;strntioo N,mbec, ;f applicable) | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | | | accounta…Read the full text as markdown