Full text of HAZARD & SIEGEL, INC.'s X-17A-5 filed 2022-02-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### DEWITT, NEW YORK # AUDITED STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2021 PUBLIC DOCUMENT {1}------------------------------------------------ # CONTENTS Pages | ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill (Facing Page) | 1 | |-----------------------------------------------------------|---| | OATH OR AFFIRMATION | 2 | | INDEPENDENT AUDITORS' REPORT | 3 | | FINANCIAL STATEMENTS: | | | Statement of Financial Condition | 4 | | Notes to Financial Statement | 5 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Ott. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART** Ill SEC FILE NUMBER 8-13942 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING _01/01/2021 | ___<br>MM/00/YY | AND ENDING _12/31/2021 | ____<br>_<br>MM/00/YY | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|---------------------------| | | A. REGISTRANT IDENTIFICATION | | | | HAZARD & SIEGEL INC.<br>NAME OF FIRM: | | __________________ | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | • Security-based swap dealer | • Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | _5793 WIDEWATERS PARKWAY SUITE 200 | (No. and Street) | __________________ | _ | | ______________<br>_DEWITT | | _______<br>NEW YORK | __<br>13214<br>_ | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | _______<br>DAVID M MULLEN<br>(Name) | 315-414-0722<br>(Area Code - Telephone Number) | ______<br>(Email Address) | dmullen@hazardsiegel.com_ | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>_EVANS AND BENNETT LLP | | _______________________ | _ | | | (Name - if individual, state last, first, and middle name) | | | | _2112 ERIE BLVD. E.,…Read the full text as markdown