Full text of OSCAR GRUSS & SON INCORPORATED's X-17A-5/A 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** # **ANNUAL REPORTS FORM X-17A-5** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | SEC FILE NUMBER | 8-22371 # **PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01 /01 /21 | AND ENDING 12/31 /21 | |--------------------------------------------|----------------------| |--------------------------------------------|----------------------| MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Oscar Gruss & Son Incorporated TYPE OF REGISTRANT (check all applicable boxes): I:!] Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1 0 East 53rd Street, 17th Floor | | (No. and Street) | | |-----------------------------------------------|---------------------------------------------------------------------------|-----------------------------------------| | New York | New York | 10022 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Danielle Landau | (212) 419-4005 | dlandau@oscargruss.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | Mazars USA LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | 60 Crossways Park Drive West, Suite 301 | (Name - if individual, state last, first, and middle name)<br>Woodbury | New York | | (Address) | (City) | (State)<br>(Zip Code) | | October 8, 2003 | | 11797<br>339 | | T<br>"' of Regotratk>n w<h PCAOBJ{• appUcab~J | | (PCAOB Reg;ru,tion N,mbe<, ;1 ••~<able) | \* 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-5(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}------------------------------------------------ #### **OA…Read the full text as markdown