Mid-Continent Securities, Ltd. – ‘X-17A-5’ for 12/31/23

On: Thursday, 4/25/24, at 1:12pm ET · Effective: 4/25/24 · For: 12/31/23 · Accession #: 1171134-24-1 · File #: 8-65298

Document/Exhibit Description Pages Size 1: X-17A-5 Annual Financial Report [ a.k.a. FOCUS Report ] by HTML 5K a Broker or Dealer -- primary_doc.xml 2: FULL Annual Audit -- midcont PDF 8.89M

X-17A-5: Submission Information

Report for the Period Beginning

1/1/23

and Ending

12/31/23

Type of Registrant

Broker-dealer

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Broker-dealer

MID-CONTINENT SECURITIES, LTD.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

1218 WEBSTER STREET

City

HOUSTON

State/Country

TEXAS

Mailing Zip/ Portal Code

77002-8841

Name and Telephone Number of Person to Contact in Regard to this Report

Name

William Van Pelt, IV

Telephone Number

713-289-6200

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

M&K CPAS, PLLC

Address 1

24955 Interstate Hwy 45, Suite 400

City

The Woodlands

State/Country

TEXAS

Mailing Zip/ Postal Code

77380

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, William H Van Pelt, IV, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of MID-CONTINENT SECURITIES, LTD., as of 12/31/23, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

William H Van Pelt, IV

Title

PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER, CCO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

Mid-Continent Securities, Ltd. – ‘X-17A-5’ for 12/31/23

On: Thursday, 4/25/24, at 1:12pm ET · Effective: 4/25/24 · For: 12/31/23 · Accession #: 1171134-24-1 · File #: 8-65298

Previous ‘X-17A-5’: ‘X-17A-5’ on 4/14/23 for 12/31/22 · Latest ‘X-17A-5’: This Filing

Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5

Filing Table of Contents

‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Mid-Continent Securities, Ltd. – ‘X-17A-5’ for 12/31/23

On: Thursday, 4/25/24, at 1:12pm ET · Effective: 4/25/24 · For: 12/31/23 · Accession #: 1171134-24-1 · File #: 8-65298

Previous ‘X-17A-5’: ‘X-17A-5’ on 4/14/23 for 12/31/22 · Latest ‘X-17A-5’: This Filing

Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5Filing Table of Contents

‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5

Filing Table of Contents