Full text of PAULSON INVESTMENT COMPANY LLC's X-17A-5 filed 2022-03-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PAULSON INVESTMENT COMPANY, LLC Annual Financial Statements Year ended December 31, 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | | |----------------|--| | FORM X-17A-5 | | | | | | hours per response: 12 | | |--------------------------|--| | Estimated average burden | | | Expires: Oct. 31, 2023 | | | 0MB Number: 3235·0123 | | | | | SEC FILE NUMBER 8-26807 # **PART Ill FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING O **1/01 /21** MM/DD/YV AND ENDING **12/31 /21** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Paulson Investment Company, LLC TYPE OF REGISTRANT (check all applicable boxes): !! Broker-dealer □ Security-based swap dealer 0 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.) 5335 SW Meadows Road, Suite 465 {No. and Street) Lake Oswego OR 97035 (City) (State) {Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Malcolm Winks (312) 940-8327 awlnks@paulsoninvestment.com (Name) {Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• Alvarez & Associates, Inc. (Name - if Individual, state last, first, and middle name) 9221 Corbin Avenue, Suite 165 Northridge California 91324 | (Address) | (City) | (State) | (Zip Code) | |--------------------------------------------------|-----------------------|--------------------------------------------|------------| | 10/16/2018 | | 6517 | | | (Date of Registration with PCAOB)llf apollcable) | | (PCAOB Registration Number. if aoollcable) | | | | 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-5(e)(1)(11), If applicable. Persons who are to respond to the collectlon of Information contained In this form are not required to respond unless the form displays a currently valld 0MB control number. {2}------------------------------------------------ #### OATH **OR AFFIRMATION** I, Malcolm Winks s…Read the full text as markdown