Full text of MISCHLER FINANCIAL GROUP, INC.'s X-17A-5 filed 2024-03-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # MISCHLER FINANCIAL GROUP, INC. (SEC ID No. 8-48067) # ANNUAL AUDIT REPORT DECEMBER 31, 2023 # **PUBLIC DOCUMENT** Filed Pursuant to Rule 17-A-5(e)(3) as a Public Document {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-48067 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 --~0~1/=0~1~/2=3~_AND ENDING | | | ___ | 1=2=/3~1~/=23~-- | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|------------------------------------------------------------|-----------------|-------------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Mischler Financial Group, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>1'21' Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1111 Bayside Drive, Suite 100 | (No. and Street) | | | | | Corona del Mar | | California | 92625 | | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Doyle L. Holmes<br>(Name) | /949) 720-0640<br>(Area Code-Telephone Number) | | (Email Address) | dhomles@mischlerfinancial.com | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Cropper Accountancy Corporation | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 2700 Ygnacio Valley Blvd, Suite 270 Walnut Creek | | | California | 94598 | | (Address) | (City) | | (State) | (Zip Code) | | March 4, 2009 | | | 3381 | | | (rte of Registration with PCAOB)(if applicable) | | | | I<br>(PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public account…Read the full text as markdown