Full text of HERBERT J. SIMS & CO, INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | | | | | | | |-----------------|--|--|---------|--|--|--|--| | | | | 8-03315 | | | | | **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FI LING FOR THE PER I OD BEGINNING \_0\_1\_I\_0\_1\_ 12\_0\_2\_1 \_\_\_ AND ENDING \_1\_2\_1 3\_1\_1\_2\_0\_2\_1 \_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: HERBERT J. SIMS & CO., INC. -------------------------------- TYPE OF REGISTRANT (check all applicable boxes): 00 Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 2150 POST ROAD, SUITE 301 (No. and Street) FAIRFIELD CT (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 06824 (Zip Code) JASON DIAMOND 203 418 9006 JDIAMOND@HJSIMS.COM (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* APRIO, LLP {Address) {Name - if individual, state last, first, and middle name) 7 PENN PLAZA, SUITE 210 NY {City) (State) 926 1 0 0 0 1 {Zip Code) (r te **of** Registration with PCAOB)(if applicable) **FOR OFFICIAL USE ONLY** ( PCA0B Registration Number, i I applicable <sup>I</sup>I \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)( l)(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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, J AS ON D I AM O N D , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of H E R B E R T J . S I M S & C O . , I **N** C as of D E C E **M B** E R 3 1 , 2 0 2 1, is true and correct. I further swear (or affirm) that neither the company nor any partner…Read the full text as markdown