Full text of M. S. HOWELLS & CO.'s X-17A-5 filed 2023-02-27 (period 2022-12-31). 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, 2022** The report is filed in accordance with Rule l 7a-5(e)(3) under the Securities Exchange Act of 1934 as a **PUBLIC DOCUMENT.** {1}------------------------------------------------ #### **CONTENTS** | Form X-17A-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** | ANNUAL REPORTS | | | | | |----------------|--|--|--|--| | FORM X-17A-5 | | | | | | PART Ill | | | | | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-52558 **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 **0 1/01 /22** MM/DD/VY AND ENDING 12/31 /**22** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: M.S. Howells & Co. TYPE OF REGISTRANT (check all applicable boxes): ii!!i!I Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 23350 N Pi ma Rd (No. and Street) Scottsdale AZ 85255 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Marcy Crites (480) 563-2032 marcy@mshowells.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Spicer Jeffries LLP (Name - if individual, state last, first, and middle name) 4601 OTC Blvd., Suite 700 Denver co 80237 (Address) (City) 10/20/2003 (State) (Zip Code) 349 rte of Registration with PCAOB)[;t appllcab el **FOR OFFICIAL USE ONLY IPCAOB Registration Number. ;f applicable)** <sup>I</sup> • 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-S(e)(l)(ii), if applicable. **Persons who are to resp…Read the full text as markdown