Full text of MID-CONTINENT SECURITIES, LTD.'s X-17A-5 filed 2022-05-03 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |--------------------------|--| | OMB Number: 3235·0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER # ANNUAL REPORTS FORM X-17A-5 PART Ill | | FACING PAGE | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|-----------------------------------------|--------------------------------------------|--|--| | Information Required Pursuant to Rules 17a·S, 17a·12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING Q 1/01 /21 | | AND ENDING 12/31 /21 | | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Mid-Continent Securities, Ltd. | | | | | | | TYPE OF REGISTRANT {check all applicable boxes):<br>0 Broker-dealer<br>0 Security-based swap dealer<br>0 Check here if respondent is also an OTC derivatives dealer | | 0 Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1218 Webster Street | | | | | | | | (No. and Street] | | | | | | Houston | TX | | 77002 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | William H Van Pelt IV | 713-289-6202 | bvp4@mccltd.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing*<br>M&K CPAs, PLLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 363 N Sam Houston Parkway E Suite 650 | Houston | TX | 77060 | | | | (Address)<br>(City] | | (State] | (Zip Code) | | | | 07/18/2006 | | 2738 | | | | | (Date of Registration with PCAOB)(if applicable] | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | | •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 respond to the collection of information contained in this form are…Read the full text as markdown