Full text of S.G. LONG & COMPANY's X-17A-5 filed 2023-08-29 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | SEC FILE NUMBER | | | |-----------------|--|--| | | | | 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 | | 07/01/2022<br>MM/DD/YY | AND ENDING | 06/30/2023<br>MM/DD/YY | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: S G Long & Company, | | | ____________________ | _ | | TYPE OF REGISTRANT {check all applicable boxes):<br>~Broker-dealer<br>□ Check here if respondent Is also an OTC derivatives dealer | D Security-based swap dealer | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 283 West Front Street, Suite 302 | | | | | | | | (No. and Street) | | | | Missoula | | MT | | 59802 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Darla Felix | 406. 721.0999 | | dsmarz@sglong.com | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Moss Adams LLP | | | | | | | | (Name - If individual, state last, first, and middle name) | | | | 601 W Riverside, Suite 1800 | | Spokane | WA | 99201 | | (Address) | | (City) | (State) | (Zip Code) | | | | | 659 | | | (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<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17<br>CFR 240.17a-5(e)(l)(ii),…Read the full text as markdown