Full text of XLII FINANCIAL SERVICES LLC's X-17A-5 filed 2021-06-11 (period 2021-03-31). 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** | OMB APPROVAL | | | | |-----------------------------------------------------------------------------------------------------------------|--|--|--| | OMB Number:<br>3235-0123<br>Expires:<br>August 31, 2020<br>Estimated average burden<br>hours per response 12.00 | | | | **8 - 69986** SEC FILE NUMBER ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 04/01/20 AND ENDING<br>MM/DD/YY | | 03/31/21<br>MM/DD/YY | |------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|-----------------------------------| | A. | REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | XLII Financial Services LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | _________________<br>FIRM ID. NO. | | 10023 Apple Creek Drive | | | | | | (No. and Street) | | | | Dallas | Texas | | 75243 | | (City) | (State) | | (Zip Code) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Phillip V. George, PLLC | B. ACCOUNTANT IDENTIFICATION | | (Area Code – Telephone No.) | | | (Name – if individual, state last, first, middle name) | | | | 5179 CR 1026 | Celeste | Texas | 75423 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>Certified Public Accountant<br>■<br>Public Accountant<br>□<br>Accountant not resident in United States or any of its possessions.<br>□ | | | | | | FOR OFFICIAL USE ONLY | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2).* SEC 1410 (06-02) Potential 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 OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | Clarence Anderson | | , swear (or affinn) that, to the best of my | |----|-------------------…Read the full text as markdown