Full text of THE GMS GROUP, LLC's X-17A-5 filed 2022-03-21 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **The GMS Group, LLC** (A Wholly Owned Subsidiary of GMS Group Holdings Corp.) Statement of Financial Condition December 31, 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-23936 **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2021** MM/DD/YY AND ENDING **12/31/2021** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: THE GMS GROUP, LLC lYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer O Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 120 EAGLE ROCK AVENUE, SUITE 300 (No. and Street) EAST HANOVER NJ 07936 {City) {State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING TIMOTHY DONOHUE 973-548-2519 tdonohue@gmsgroup.com {Name) {Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* MAZARS USALLP (Name - if Individual, state last, first, and middle name) 60 CROSSWAY PARK DRIVE WEST, SUITE 301 WOODBURY NY 11797 (Address) {City) (State) {Zip Code) 10/08/2003 339 (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 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. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, TIMOTHY DONOHUE | swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown