Full text of KAUFMAN & COMPANY, LLC's X-17A-5 filed 2022-04-01 (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 Number: 3235-0123 | | |--------------------------|--| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER | | FACING PAGE | | | |-------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|--------------------------------------------| | | Information Required Pursuant to Rules 17a-5, 17a•12, and 1h~7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING 0 1/01/2021 . | | AND ENDING 12/31/2021 | | | | MM/DQ/YY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: Kaufman&Company, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 100 Franklin Street | | | | | | (No. and Street) | | | | Boston | MA | | 02110 | | (City) | | | (Zip Code) | | | (State) | | | | PERSON TO .CONTACT WITH REGARD TO THIS FILING | | | | | Sumner Kaufman | 617 4260444 | | skaufman@kcoll.com | | (Name) | (Area Code -Telephone Number} | (Email Address) | | | | B. ACCOUNTANTIOENTIFICATION | | | | Mlchc1el Coglianese CPA PC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name- If individual, state last, first, and middle name) | | | | 125 E. Lake Street | Bloomingdale | IL | 60108 | | (Address)<br>10/20/2009 | (City) | (State)<br>3874 | (Zip Code) | | (Date ofRegistratlon with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable} | | | FOR OFFICIAL USE ONLY | | | | CFR 240.17a-S(e)(1)(ii), if applicable. | * Claims for exemption from the requfrement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts arid circumstances relied on as the basis of the exemption. See 17 | | | Persons who are to respond…Read the full text as markdown