Full text of GREGORY J. SCHWARTZ & CO., INC.'s X-17A-5 filed 2021-06-16 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM MARCH 31 , 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL OMBNumber: 3235-0123 Expires: October 31 , 2023 Estimated average burden hours per response .. . .. . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | | 8-20955 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | -----------<br>REPORT FOR THE PERIOD BEGINNING 04/01/2020<br>AND ENDING 03/31/2021<br>MM/DD/YY | | | | |----------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------|---------|--------------------------------|--| | | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Gregory J. Schwartz & Co. Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 3707 West Maple Rd. | | | | | | | (No. and Street) | | | | | Bloomfield Hills | Ml | | 48301 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Edward A, Schwartz<br>(248)644-2701 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | DeMarco Sciaccotta Wilkens & Dunleavy, LLP | (Name - if individual, state last, firs/, middle name) | | | | | 9501 W. 171st St. H-103 | Tinley Park | IL | 60487 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>I<br>✓<br>certified Public Accountant<br>Public Accountant | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | *\*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 for 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…Read the full text as markdown