Full text of ROBERT A. STANGER & COMPANY, INC.'s X-17A-5 filed 2022-02-07 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **PUBLIC** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | | | | | |----------------|--|--|--|--| | FORM X-17 A-5 | | | | | | PART Ill | | | | | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-27120 **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 | ___<br>__<br>0--'1/'-0_1_,_/_2_1<br>MWDDNY | AND ENDING | __<br>___<br>1_2_,_/_3_1,_/2_1<br>MWDDNY | | | | | |---------------------------------------------------------------------------|-----------------------------------------------------------------------------------|------------|------------------------------------------|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | | | | NAME OF Fl RM: | _____<br>_______<br>_<br>R_o_b_e_rt_A_._S_t_a_n_g_e_r _&_C_o_m_p_a_n_y_, _I n_c_. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | D Security-based swap dealer<br>~ Broker-dealer | | | D Major security-based swap participant | | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 1129 Broad Street, Suite 201 | | | | | | | | | | (No. and Street) | | | | | | | | Shrewsbury | NJ | | 07702 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Kevin K. Hull | (732) 389-3600 | | khull@rastanger.com | | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | PKF O'Connor Davies, LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 245 Park Avenue, 12th Floor | New York | NY | 10167 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 09/29/03 | | | 127 | | | | | | | | | | | | | | | | 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 appli…Read the full text as markdown