Full text of NATIONS FINANCIAL GROUP, INC.'s X-17A-5 filed 2022-03-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 50588 FACING PAGE Information Required Durcuant 17- 17 | | modellars and and the more of the of at at at at the recomment of the recommend of the first of the first of the first of the first of the | | | | | |--------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|------------|-----------------|--------------------------------------------| | FILING FOR THE PERIOD BEGINNING | 01/01/2021 | | AND ENDING | 12/31/2021 | | | | MM/DD/YY | | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Nations Financial Group, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Broker-dealer Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 4000 River Ridge Dr. NE | | | | | | | | | (No. and Street) | | | | | | Cedar Rapids | A | | | 52402 | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | R Scott Bennett | 319-393-9541 | | | | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | DeMarco Sciaccotta Wilkens & Dunleavy, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 20646 Abbey Woods Ct. N, Ste. 201 Frankfort | | | | 60423 | | (Address) | (City) | | | (State) | (Zip Code) | | 12/21/2010 | | | 5376 | | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | | | accounta…Read the full text as markdown