Full text of MID-CONTINENT SECURITIES, LTD.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | OMB APPROVAL | | |-------------|--------------|---------------------------| | OMB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | hours oer resoonse 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 /2020 AND ENDING 12/31 /2020 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME oF BROKER-DEALER: Mid-Continent Securities, Ltd. ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 1218 Webster Street (No. and Street) Houston TX (City) (State) MM/DD/YY OFFICIAL USE ONLY FIRM l.D. NO. 77002 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report\* Bauer & Company PO Box 27887 (Address) CHECK ONE: I./ I certified Pub I ic Accountant DPublic Accountant (Name - if *individual, state last, first, middle name)* Austin (City) DAccountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY** (Area Code - Telephone Number) TX 78755 (State) (Zip Code) *\*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 1410 (11-05) {1}------------------------------------------------ #### OATH OR AFFffiMATION # I, \_W\_i\_lli\_a\_m\_H\_V\_a\_n\_P\_e\_lt\_l\_V \_\_\_ \_ \_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_ , swear (or affinn) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the finn of Mid-Continent Securities, Ltd. --------------------------------------- ---'as of December 31 are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any ac…Read the full text as markdown