Full text of MID-CONTINENT SECURITIES, LTD.'s X-17A-5 filed 2024-04-25 (period 2023-12-31). 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 # ANNUAL REPORTS FORM X-17A-5 PART Ill | OMB APPROVAL | | | | |--------------------------|--|--|--| | OMB Number: 3235-0123 | | | | | Expires: Nov. 30, 2026 | | | | | Estimated average burden | | | | | hours per response: 12 | | | | SEC FILE NUMBER | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------|------------|--|--|--|--| | FILING FOR THE PERIOD BEGINNING 01/01 /2023 | AND ENDING 12/31 /2023 | | | | | | | MM/DD/YY | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME oF FIRM : Mid-Continent Securities, Ltd. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>[!] Broker-dealer<br>0 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) | | | | | | | | Houston<br>Texas | | 77002 | | | | | | (City)<br>(State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | bvp4@mccltd.com<br>William H Van Pelt, IV 713-289-6200 | | | | | | | | (Area Code -Telephone Number)<br>(Name) | (Email Address) | | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>M&K CPAS, PLLC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 24955 Interstate Hwy 45 Ste 400 The Woodlands | Texas | 77380 | | | | | | (Address)<br>(City) | (State) | (Zip Code) | | | | | | 07/18/2006 | 2738 | | | | | | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | | • 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 t…Read the full text as markdown