# KAUFMAN & COMPANY, LLC X-17A-5 (2022-04-01) — Broker-dealer annual report - Company: KAUFMAN & COMPANY, LLC - Form: X-17A-5 - Filed: 2022-04-01 - Period: 2020-12-31 - Accession: 0000703266-22-000003 - CIK: 703266 - File #: 8-27911 - Type: Broker-dealer - Material weakness: No - Auditor: Michael Coglianese CPA, P.C. - Auditor location: Bloomindale, MA - Contact: Sumner Kaufman - Phone: 617-426-0444 - Signed by: Sumner Kaufman (President) Original filing: https://www.sec.gov/Archives/edgar/data/703266/000070326622000003/AAPublic.pdf --- {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
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
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
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 | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------|------------|-------------------------------------------------------------|--| | of December 31 | | | 2020 are true and correct. I further swear (or affirm) that | | | neither the company nor any partner, principal officer or director has any proprietary interest in any account | | | | | | classified solely as that of a customer, except as follows: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Signatiffe | | | | | President | | | | | | | Title | | | | | | | | | | | | | | | | Notary Publice | | | | | | | | | | | | This report ** contains (check all applicable boxes): | | | | | | (a) Facing Page. | | | | | | (b) Statement of Financial Condition. | | | | | | (c) Statement of Income (Loss).
(d) Statement of Changes in Financial Condition. | | | | | | (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. | | | | | | (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. | | | | | | (g) Computation of Net Capital. | | | | | | (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. | | | | | | (i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3. | | | | | | (j) A Reconciliation, including appropriate explanation of the Computation of Net Capital Under Rule 15c3-1 and the
Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. | | | | | | (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of | | | | | | consolidation. | | | | | | | | | | | | (1) An Oath or Affirmation. | | | | | \*\* For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e){3}. {2}------------------------------------------------ #### KAUFMAN & COMPANY, LLC Statement of Financial Condition For the Year-Ended December 31, 2020 {3}------------------------------------------------ #### KAUFMAN & COMPANY, LLC ## Statement of Financial Condition as of December 31, 2020 #### ASSETS | CURRENT:
Cash
Accounts Receivable | 264,292 | \$ 94,587 | |------------------------------------------------------------------------------------------------------|---------|-----------------------------| | Less Allowance for Doubtful Accounts | 263,291 | 1,001
95,588 | | PROPERTY AND EQUIPMENT:
Cost
Accumulated Depreciation | | 47,807
(45,139)
2,668 | | OTHER:
Rental Deposit
Investment
(NOTE C)
Operating Lease -
Right-of-use Asset Net of | | 20,435
1 | | 20,436
Amortization of \$186,626
(NOTE E) | | 172,323
192,759 | | | | \$291,015 | #### LIABILITIES AND MEMBERS' EQUITY | LIABILITIES: | | |----------------------------------------------------------------------------|---------------------| | Current:
Accounts Payable
Other Accruals | \$ 27,743
45,000 | | Lease Liabilities
Lease Liability (NOTE E)
Total Current Liabilities | 121,893
194,636 | | Long-Term:
Lease Liability (NOTE E)
Total Liabilities | 51,868
246,504 | | MEMBERS'
EQUITY | 44,511 | | | \$291,015 | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.