Full text of SUNDIAL GROUP, LLC's X-17A-5 filed 2021-03-10 (period 2020-12-31). 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, 2020 {1}------------------------------------------------ ## SUNDIAL GROUP, LLC FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES FOR THE YEAR ENDED DECEMBER 31, 2020 #### C O N T E N T S | | Page | |-----------------------------------------------------------------------------------------------------------------|--------| | Facing page to Form X-17A-5 | 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 - Computation of net capital pursuant to Rule 15c3-1<br>of the Securities Exchange Act of 1934 | 15 | | Supplementary Note - 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 17a-5 Exemption Report | 17 | | Rule 17a-5 Exemption Report | 18 | {2}------------------------------------------------ Ul'\'ITED STA TES SECURITIESANDEXCll.\NGECOMMlSSION Washington,D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART HI** OMBAPPROVAL I OMB Number: 3235-0123 I Expires: October 31, ZOZ3 I Estimated average burden hours erres onse .... .. 12.gQj # SEC FlLE NUMBER s.68894 #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunde1· | REPORT FOR THEPERJOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | |----------------------------------------------------------------------------------------------|----------------------------------------------------------|-----------------------|-------------------------------| | | -~-~~--~~-~<br>lvI!vI!DD/YY | | 1\·f.l\.f/DD/YY | | | A. REGISTRANT .IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Sundial Group, LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not u:ic P.O. Box No.) | | | FIRM l.D. NO.<br>~------ -- | | 200 South Andrews Avenue, Suite 604 | | | | | | (N<>. and Str<>et} | | | | Fort Lauderdale | Florida | 33301 | | | (City) | (State) | (Zip Code) | | | NAME AND TELEPHONE l'HJMBER-OF PERSON TO C-ONIACT IN REGARD TG THlS REPORT<br>Kr…Read the full text as markdown