Full text of THE TIDAL GROUP, INC.'s X-17A-5 filed 2024-02-23 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | OMBAPPROVAL<br>0MB Number: 3235·0123<br>SECURITIES AND EXCHANGE COMMISSION<br>Expires: Nov. 30, 2026<br>Estimated average burden | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--|--|--| | | Washington, D.C. 20549 | | | | | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | | | FORM X-17A-5 | 8-48809 | | | | | | PART Ill | | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange A~ of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2023<br>AND ENDING _1_2_/3_1_/_2_0_2_3_ | | | | | | | | MM/00/YY | MM/00/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAMEoFFIRM:_T_h_e_T_i_d_a_l _G_r_o_u_p_, _ln_c_. | | _________<br>_ | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!J Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 5501 Mid Cities Parkway, Suite 100 | | | | | | | | (No. and Street} | | | | | | Schertz | TX | 78154 | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Lee Novikoff | 210-659-1446 | Lee@tidalgp.com | | | | | (Name} | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Haynie and Company | | | | | | | | (Name - If Individual, state last, first, and middle name) | | | | | | 1785 West 2320 South | Salt Lake City | Utah<br>84119 | | | | | (Address}<br>10/20/2003 | (City} | (State)<br>(Zip Code}<br>457 | | | | | (Date of Registration with PCAOB)(lf applicable) | | (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 | | | | | accountant must be supported by a statement of facts and clrcu mstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons wh…Read the full text as markdown