Full text of CND FINANCIAL LTD.'s X-17A-5 filed 2022-03-28 (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** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: I 2 | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUM BER | | |------------------|--| | 8-66645 | | **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 /21** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: CND FINANCIAL LTD TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer AND ENDING **12/31 /21** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 31240 BECK RD. | |----------------| | | | | (No. and Street) | | | |----------------------------------------------|----------------------------------------------------------------------------|---------------------------|------------| | BULVERDE | TEXAS | | 78163 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | MIL TON COLLIER | 800-810-3355 | MCOLLIER@CNDFINANCIAL.COM | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | PHILLIP V. GEORGE, PLLC | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 5179 CR 1026 | CELESTE | TEXAS | 75423 | | (Address) | (City) | (State) | (Zip Code) | | 2/24/2009 | | 3366 | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports he 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 exempt ion. 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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, MILTON c . COLLIER | | | swear (or affirm) that, to the best of my knowledge and belief, the | |-----------------------|-------------------------------…Read the full text as markdown