Full text of MUNDIAL FINANCIAL GROUP, LLC's X-17A-5 filed 2024-08-05 (period 2024-06-30). 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 # ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68154 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 07/01/23 , AND ENDING 06/30/24 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: MUNDIAL FINANCIAL GROUP, LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | | Security-based swap dealer | | Major security-based swap participant O Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 477 MADISON AVENUE, 6TH FLOOR | 188 . 1876 220 | (No. and Street) (No. and Street) (No. | | |-------------------|----------------------------------------|------------| | NEW YORK THE BEAR | NY | 10022 | | City) (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING MONIQUE ROMERO (212) 668-8700 mromero@acisecure.com (Email Address) (Name) B. ACCOUNTANT IDENTIFICATION (Area Code - Telephone Number) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # NAWROCKI SMITH LLP (Name - if individual, state last, first, and middle name) | 100 MOTOR PARKWAY, SUITE 580 Hauppage | | | *1788 | |--------------------------------------------------|-----------------------|--------------|--------------------------------------------| | (Address) | (City) | State) State | (Zip Code) | | March 4, 2009 | | 3370 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. 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 | GHARLES SMULEVITZ | | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------|----------------------------------------------------…Read the full text as markdown