Full text of MID-CONTINENT SECURITIES, LTD.'s X-17A-5 filed 2023-04-14 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SEQJRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | Estimated average burden | | | |--------------------------|----|--| | hours per response: | 12 | | | | | | SEC FILE NUMBER 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 01/01/2022 AND ENDING 12/31 /2022 MM/DD/VY MM/DD/VY A. REGISTRANT IDENTIFICATION NAME oF FIRM: Mid-Continent Securities, Ltd. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1218 Webster Street | (No. and Street) | | | |-------------------------------|----------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | TX | | 77002 | | (State) | | (Zip Code) | | | | | | 713-289-6200 | | bvp4@mccltd.com | | (Area Code -Telephone Number) | (Email Address) | | | | | | | | | | | | TX | 77060 | | (City) | (State) | (Zip Code) | | | 2738 | | | | | (PCAOB Re&'""""" Numb.,, If •eellcobl•) I | | FOR OFFICIAL USE ONLY | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>363 N Sam Houston Parkwa Houston<br>of Regl""tlon with PCAOB)(• •ppllcob~) | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | • 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 not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, William H van Pelt IV swear {or affirm) that, to the best of my knowledge…Read the full text as markdown