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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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2/16/22‡ Dunn Securities, LLC X-17A-5/A 12/31/21 1:2K SEC #7
2/16/22 Shareholders Service Group, Inc. FOCUSN 12/31/21 1:2K SEC #7
2/16/22 Pacific Century Securities, LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Cimas LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Shareholders Service Group, Inc. X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Valley Financial Management, Inc. X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Western Strategic Assets, L.L.C. X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Winlo Management Group, LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Kal Capital Markets LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Startengine Primary LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Collins/Bay Island Secs, LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Infinity Capital Securities, LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22‡ White Mountain Capital, LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Tritaurian Capital, Inc. X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Cap Research Brokerage Svcs, LLC X-17A-5 12/31/21 1:2K SEC #7
2/16/22 Atlantic - Pacific Capital, Inc. X-17A-5 12/31/21 1:2K SEC #7
2/16/22 White Mountain Capital, LLC FOCUSN 12/31/21 1:2K SEC #7
2/16/22 Valley Financial Management, Inc. FOCUSN 12/31/21 1:2K SEC #7
2/16/22‡ Financial Solutions Group, Inc. MA-A 12/31/21 1:12K
2/16/22 Financial Solutions Group, Inc. MA/A 3/15/22 1:12K
____________ | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | ¹ | Filing/Form Types: | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | MA | Application for Registration by a Municipal Advisor — Form MA. | | MA-A | Annual Update of Registration by a Municipal Advisor — Form MA. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. |
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