Full text of M. S. HOWELLS & CO.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  #### **REPORT PURSUANT TO RULE 17a-5(d)** **YEAR ENDED December 31, 2020** The report is filed in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a **PUBLIC DOCUMENT.** {1}------------------------------------------------ #### **CONTENTS** #### Form X-17 A-5 Part III (Facing Page) Oath or Affirmation Report of Independent Registered Public Accounting Firm Statement of Financial Condition Notes to Financial Statements 1 2 3 4 9-12 Page (s) {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 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-S Thereunder** | REPORT FOR THE PERIOD BEGINNING O 1/01/2020 | | AND ENDING 12/31/2020<br>----------- | | | |-----------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: M.S. Howells & Co. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 23350 N. Pima Rd. | | | | | | | (No. and Street) | | | | | Scottsdale | Arizona | 85255 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Marcy Crites | | (480) 563-2032 | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Spicer Jeffries LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 4601 OTC Blvd., Suite 700 | Denver | Colorado | 80237 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>certified Public Accountant<br>!<br>I | | | | | | □<br>Public Accountant | | | | | | □<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | |…Read the full text as markdown