Full text of KAUFMAN & COMPANY, LLC's X-17A-5 filed 2022-04-01 (period 2020-12-31). 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 AUDITED REPORT FORM X-17A-5 PART 111** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per resoonse ...... 12.00 | SEC FILE NUMBER | | |-----------------|--| | s-2791 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | JANUARY 1,2020 | | AND ENDING DECEMBER 31, 2020 | |--------------------------------------------------------------------------------------------|----------------------------------------------------------|-------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Kaufman & Company, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINClPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 100 Franklin St<br>Suite 403 | | | | | | (No. ond Slrcet) | | | | Boston | MA | | 02110 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>Sumner Kaufman | | | (617) 426 0444 | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Michael Coglianese CPA PC | | | | | | (Nome - ifi11dMd11al, s/a/c /as1,jil'sl. middle 11a111e) | | | | 125 E. Lake St Suite 303 | Bloomingdale | IL | 60108 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | B<br>lcertified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis for the exemption. See Section 240./7a-5(e)(2)* SEC 1410 (11-05) Potential 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}------------------------------------------------ ### OATH OR AFFIRMATION | Kaufman & Company, LLC | | | | | |-------------------------------------…Read the full text as markdown