Full text of SUNDIAL GROUP, LLC's X-17A-5 filed 2023-03-07 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ ## **SUNDIAL GROUP, LLC FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES FOR THE YEAR ENDED DECEMBER 31, 2022** ### CONTENTS | 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-<br>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 SECURmES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number. 3235-0123 Expires: Oct. 31, 2D23 Estimated IM!l'all! burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 68894 | | PCAOB R stratlon Number, If a llcable | | FACING PAGE | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|---------|-----------------------------------| | Information Required Pursuant to Rules 17a-5, 17a-12, and lla-7 under the Securities Exchanp Ad of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING Q 1/Q1 /2022 | | AND ENDING 12/31 /2022 | | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Sundial Group, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>Cl Check here If respondent Is also an OTC derivatives dealer | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINE…Read the full text as markdown