Full text of MAULDIN SECURITIES, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number: 3235-0123 Expires: Oct. 31, <sup>2023</sup> Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | | 8-37954 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | 01/01/21 | AND ENDING | 12/31/21 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-------------------------|----------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A.<br>REGISTRANT IDENTIFICATION | | | | Mauldin<br>Securities,<br>NAME OF FIRM: | LLC | | | | TYPE OF REGISTRANT (check all<br>^<br>[<br>Broker-dealer<br>Security-based<br>Check here if respondent is also an OTC derivatives dealer | boxes):<br>applicable<br>swap<br>dealer | Major<br>security-based | swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | use a P.O.<br>(Do not | no.)<br>box | | | 4924<br>Briarwood<br>Dr. | | | | | | (No. and Street) | | | | Dallas | Texas | | 75209 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | John<br>Mauldin<br>F. | 214-526-9155 | | johnm@2000wave.com | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose | reports<br>contained<br>are | filing*<br>in<br>this | | | Co.,PC<br>&<br>McBee | | | | | (Name -if | individual,<br>state last,first,and | middle name) | | | Paulus<br>718 | Dallas | TX | 75214 | | (Address) | (City) | (State) | (Zip Code) | | 09/22/2009 | | 3631 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,if<br>applicable) | | | FOR OFFICIAL USE ONLY | | | | * 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 | CFR 240.17a-5(e)(l)(ii),if applicable. **Persons who are to respond to the collection of information contain…Read the full text as markdown