Full text of KAUFMAN & COMPANY, LLC's X-17A-5 filed 2023-03-21 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | PUBLIC | 0MB APPROVAL | |---------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|-----------------------------------------| | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | hours per response:<br>12 | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-S | | | | 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 01/01/2022 | | AND ENDING 12/31 /22 | | | MM/DD/VY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | NAME oF FIRM: Kaufman & Company, LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer | O Security-based swap dealer | □ Major security-based swap participant | | D Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | 100 Franklin Street | | | | | (No. and Street) | | | | | | | Boston | MA | 02110 | | (City) | (State) | (Zip Code) | | | | | | | | | | | | skaufman@kcollc.com | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Sumner Kaufman | 617 504 3895<br>(Area Code - Telephone Number) | (Email Address) | | (Name) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | ' !NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | fVlichael Cogiianese CPA PC | | | | | (Name - if individual, state last, first, and middle name) | | | 125 E. Lake Street | Bloomingdale | IL<br>60108 | | (Address) | (City) | (State)<br>(Zip Code) | | 10/20/2009 | | 3874 | | | of R,g;,t,atloo w;th PCAOB)llf applicabl•I FOR OFFICIAL USE ONL y | [PCAOB R,g;m,t100 N,mbe,, ;f appll~bl,) | | l" | | | 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** | swear (or affirm) that, to the best of my knowledge and belief, the<br>I, Sumner Kaufman | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown