Full text of MID-CONTINENT SECURITIES ADVISORS, LTD.'s X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | OMB APPROVAL | | |--------------------------|---------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | Estimated average burden | | | | hours per response 12.00 | | | SEC FILE NUMBER | |----|-----------------| | 8- | | ## 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 01/01/2018 | | AND ENDING 12/31/2018 | | |------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------|------------------------------------| | | MM/DD/YY | | ----------------------<br>MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Mid-Continent Securities Advisors, Ltd. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | 1218 Webster Street | | | | | | (No. and Street) | | | | Houston | TX | | 77002 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>William H. Van Pelt, IV | | | 713-289~200 | | | | | (Area Code- Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Bauer & Company, LLC | | | | | | (Name- if individual, state last, first, middle name) | | | | 5910 Courtyard Drive #230 | Austin | TX | 78731 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | l.f I<br>Certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | *Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant | | | | | must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5(e)(2) | | | | Potential persons who are to respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid OMB control number. SEC 141 0 (06-02) {1}------…Read the full text as markdown