Full text of COOPER MALONE MCCLAIN, INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2.023<br>Estimated average burden<br>hours per response:<br>12 | | |----------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|---------------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS<br>FORM X-17A-5<br>PART Ill | | SEC FILE NUMBER | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a•5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2022 | MM/DD/VY | | AND ENDING 12/31/2022<br>MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: _C_O_O_P_E_R_M_A_L_O_N_E_M_C_C_L_A_IN_, I_N_C_. | | ------ | | | ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | □ 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 | | | | | OHAB AND COMPANY, PA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | 100 E SYBELIA AVE, SUITE 130 MAITLAND | (Name - if individual, state last, first, and middle name) | FL | 32751 | | | (Address) | (City) | (State) | (Zip Code) | | | JULY 28, 2004 | | 1839 | | | | rte of Registratloo with PCAOBII• applkable) | | | (PCAOB Reg,stcatioo N ,mbec, ,f applicable) | | | | FOR OFFICIAL USE ONLY | | | | | CFR 240.17a-5(e)(l)(ii), if applicable. | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | | **Persons who are to resp…Read the full text as markdown