Full text of NATIONS FINANCIAL GROUP, INC.'s X-17A-5/A filed 2020-03-03 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITillSANDEXCHANGECOMMISSION Washington, D,C, 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 | SEC FILE NUMBER | |-----------------| | B-50588 | **FACING PAGE Infot•mation Required of Brokers and Dealet·s Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | REPORT FOR THE PERIOD BEGINNING 1-1-2019<br>AND ENDING 12-31-2019 | | | | |---------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------|-------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Nations Financial Group, Inc. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>4000 River Ridge Dr NE | | | FIRM I.D. NO. | | | | (No. and Street) | | | | | <CedlaRrFQ�fDkl s | I� | | 52402 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>R Scott Bennett 319-393-9541 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Demarco Sciacotta Wilkens & Dunleavy, LLP | | | | | | | (Name - if /11divid11al, stale last, flrsl, 111iddle 11a111e) | | | | | 9645 Lincolnway Lane Suite 214A | Frankfort | Illinois | 60423 | | | (Address) | (City) | (State) | (Zip Code) | | | a<br>CHECK ONE: | | | | | | IV<br>I Certified Public Accountant | | | | | | Public Accountant | | | | | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Clai111s for exe111ptio11 j)·o111 the req11ire111e11t that the amwal rep01·t be covered by the opi11io11 of a11 i11depe11de11t public acco1111tc111t 11111st be supported by a statement of facts and circ11111sta11ces relied 011 as the basis for the exempt/011. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}--------------------------------------------…Read the full text as markdown