Full text of SUNDIAL GROUP, LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). 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, 2023** {1}------------------------------------------------ ## **SUNDIAL GROUP, LLC FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES FOR THE YEAR ENDED DECEMBER 31, 2023** ### 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<br>-<br>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<br>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 17a-5<br>Exemption Report | 17 | | Rule 17a-5<br>Exemption Report | 18 | {2}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-68894 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023 | | | | | | 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 Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF P…Read the full text as markdown