Full text of SUNDIAL GROUP, LLC's X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### SUNDIAL GROUP, LLC ### FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES ### FOR THE YEAR ENDED DECEMBER 31, 2018 {1}------------------------------------------------ # **SUNDIAL GROUP, LLC FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES FOR THE YEAR ENDED DECEMBER 31, 2018** ### CONTENTS | Facing page to Form X-17A-S | 2A | |-------------------------------------------------------------------------------------------------------------------|------| | Affirmation | 2B | | Report of Independent Registered Public Accounting Firm | 3 | | FINANCIAL STATEMENTS: | | | Statement of Financial Condition | 5 | | Statement of Operations | 6 | | Statement of Changes in Member's Equity | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements | 9-13 | | SUPPLEMENTARY SCHEDULES: | | | Schedule 1-<br>Computation of net capital pursuant to Rule 15c3-1<br>of the Securities Exchange Act of 1934 | 15 | | Supplementary Note-<br>Supplemental information Pursuant to Rule 17-a-5<br>of the Securities Exchange Act of 1934 | 16 | | Report of Independent Registered Public Accounting Firm<br>on Rule 15c3-3 Exemption Report | 17 | | Rule 15c3-3 Exemption Report | 18 | {2}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | Expires: | August 31,2020 | |----------|--------------------------| | | Estimated average burden | | | hours er res onse 12.00 | | | SEC FILE NUMBER | | | | B-68894 OMS APPROVAL OMB Number: 3235-Q123 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of tbe Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2018 | | | AND ENDING 12/31/2018<br>----------------------<br>MM/DDIYY | | |-------------------------------------------------------------------------------------------|-------------------------------------------------------|---------|-------------------------------------------------------------|--| | | MMIDDIYY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Sundial Group, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 200 South Andrews Avenue, Suite 602 | | | | | | | (No. and Street) | | | | | Ft. Lauderdale | Florida | | 33301 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON…Read the full text as markdown