Full text of HERBERT J. SIMS & CO, INC.'s X-17A-5 filed 2023-03-16 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | And A BRA Comments<br>12<br>hours per response: | |-------------------------------------------------| | | | SEC FILE NUMBER | | 8 - 0 3 3 1 5 | | FILING FOR THE PERIOD BEGINNING | | 01/01/2022 | AND ENDING | 12/31/2022 | | | | |---------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|-----------------|--------------------------------------------|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: | | HERBERT J. SIMS & CO | INC . | | | | | | W Broker-dealer | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Check here if respondent is also an OTC derivatives dealer | LJ Security-based swap dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 2150 POST ROAD, SUITE 301 | | | | | | | | | (No. and Street) | | | | | | | | FAIRFIELD | C T | | | 06824 | | | | | (City) | | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | JASON DIAMOND | 203 418 9006 | | | JDIAMOND@HJSIMS.CO | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | APRIO. | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 7 PENN PLAZA, SUITE 210 | | | NY | 10001 | | | | (Address) | | (City) | | (State) | (Zip Code) | | | | | | | | 926 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public<br>accountant must he cupported by a stamont of fact and circumstances rolian on action of the everyning. See 17 | | | | | | | {1}------------------------------------------------ | JASON DIAMOND | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------|---------------------------------------------------------------------|--| | financial report pertaining to the firm of | HERBERT J. SIMS & CO., INC…Read the full text as markdown