Full text of PENROD FINANCIAL SERVICES, INC.'s X-17A-5 filed 2022-04-13 (period 2021-12-31). 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** # **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | SEC FILE NUMBER | |-----------------| | 8-40088 | | | FACING PAGE | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------------|--|--| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>AND ENDING 12/31/2021<br>FILING FOR THE PERIOD BEGINNING O 1/01/2021 | | | | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Penrod Financial Services, Inc DBA Penrod Financial Group | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 574 State Hwy 248, PO Box 220 | | | | | | | | ( No. and Street) | | | | | | Branson | MO | | 65615 | | | | (City) | (State) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Tamara L. Haslar | 417 -334-3455 | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Michael T. Patterson, CPA | | Holt & Patterson, LLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 260 Chesterfield Industrial Blvd Chesterfield | | MO | 63005 | | | | (Address)<br>02/24/2009 | (City) | (State)<br>3372 | (Zip Code) | | | | rte<br>of Reg;suaUoo w;th PCAOB)(;f applicable( | | | I<br>(PCAOB Reg;su,uoo Norn be,, ;f 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 circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **Persons who a…Read the full text as markdown