Full text of HERBERT J. SIMS & CO, INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... ... 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | | SEC FILE NUMBER | |---------|-----------------| | 8-Q3315 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | AND ENDING 12/31/20 | ----------- | |------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|---------------------|------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: HERBERT J. SIMS & CO., INC. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM I.D. NO. | | | | 2150 POST ROAD SUITE 301 | | | | | | (No. and Street) | | | | FAIRFIELD | CT | | 06824 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | JASON DIAMOND | | | 203-418-9006<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>APRIO | | | | | | (Name - if individual, state last,first, middle name) | | | | 7 PENN PLAZA, SUITE 210 | NEW YORK | NY | 10001 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>I<br>B<br>✓<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis/or the exemption. See Section 240.17a-5(e)(2)* > **Potential 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 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** **1,** JASON DIAMOND , swear (or affirm) that, to the best of my knowledge and belief the ac…Read the full text as markdown