Full text of M. S. HOWELLS & CO.'s X-17A-5 filed 2019-02-28 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  #### **REPORT PURSUANT TO RULE 17a-5(d)** **YEARS ENDED December 312 2018 and 2017** The report is deemed **CONFIDENTIAL** in accordance with Rule I 7a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition has been filed with the Securities and Exchange Commission simultaneously herewith as a **PUBLIC DOCUMENT.** {1}------------------------------------------------ #### **CONTENTS** | Form X-17A-5 Part Ill (Facing Page) | | |---------------------------------------------------------------------------------------------------------------------------------------------|--------------| | Oath or Affirmation | 2 | | Report of Independent Registered Public Accounting Firm | 3 | | Statements of Financial Condition | 4 | | Statements of Operations | 5 | | Statements of Changes in Shareholders' Equity | 6 | | Statements of Cash Flows | 7 | | Notes to Financial Statements | -<br>8<br>12 | | f<br>Supplementary In<br>ormation: | | | Computation of Net Capital Pursuant to Uniform Net Capital Rule I 5c3-I<br>of the SEC | 13 | | Report of Independent Registered Public Accounting Firm on Broker<br>Dealer's Exemption Report | 14 | | Broker-Dealer's Rule<br>I 5c3-3 Exemption Report | 15 | | General Assessment Reconciliation Pursuant to Form SIPC-7 | 16 | | Report of Independent Registered Public Accounting Firm on Applying<br>Agreed-upon Procedures to an Entity's SIPC Assessment Reconciliation | 17 | {2}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION 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-52558** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 0 1/01/2018<br>-----------<br>MM/DD /Y Y<br>A. REGISTRANT IDENTIFICATION<br>NAME OF BROKER-DEALER: M.S. Howells & Co. | AND ENDING 12/31/2018 | MM/DD/YY | | |-------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------|-------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown