Full text of M. S. HOWELLS & CO.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). 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, 2021** 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) | 1 | |---------------------------------------------------------|--------------| | Oath or Affirmation | 2 | | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Notes to Financial Statements | -<br>12<br>5 | {2}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-52558 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|--------|----------------------------|----------------------------------------------------|--|--| | FILING FOR THE PERIOD BEGINNING 01/01/2 | | 31 /21 | | | | | | 1<br>MM/DD/YY | | | AND ENDING 12/<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME or FIRM: M.S. Howells & Co. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>I!!! Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer<br>□ | | | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 23350 N Pima Rd | | | | | | | | | (No. and Street) | | | | | | | Scottsdale | AZ | | 85255 | | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Marcy Crites | marcy@mshowells.com<br>(480) 563-2032 | | | | | | | (Name) | (Area Code -Telephone Number<br>) | | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Spicer Jeffries LLP | | | | | | | |…Read the full text as markdown