Full text of SUNDIAL GROUP, LLC's X-17A-5 filed 2022-03-24 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ # SUNDIAL GROUP, LLC FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES FOR THE YEAR ENDED DECEMBER 31, 2021 #### 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 Deficit | 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}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden ho # ANNUAL REPORTS FORM X-17A-5 PART III | urs per response: | 12 | |-------------------|----| | SEC FILE NUMBER | | | 68894 | | 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 01/01/2021 | | AND ENDING 12/31/2021 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Sundial Group, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer D Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | LI Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 450 E. Las Olas B…Read the full text as markdown