Full text of KAUFMAN & COMPANY, LLC's X-17A-5 filed 2024-03-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill nMR •----· 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **O 1/01/2023** AND ENDING **12/31/2023** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** ## NAME oF FIRM: Kaufman & Company, LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer □ Security-based swap dealer D Check here If respondent Is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 100 Franklin Street, Ste 403 | | | |------------------------------|--|--| | | | | | Boston | MA | | 02110 | |-----------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|------------------|--------------------------------------------| | (City) | (State) | | (Zip Code) | | . PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Sumner Kaufman | 6175043895 | skaufman@kcollc. | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Michael Coglianese, CPA PC_ | (Name - if Individual, state last, first, and middle name) | | | | 125 E. Lake Street | Bloomingdale | IL | | | | (City) | (State) | (Zip Code) | | (Address)<br>10/20/2009<br>(Date of Registration with PCAOB)(lf applicable) | | 3874 | (PCAOB Registration Number, If applicable) | • 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 applicable. Persons who are to respond to the collectlon of Information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. -------------- --·- ·-·---- --- - - - ---r- -------.------.----= ,.,\_11111111 \_\_\_\_ ""' {1}------------------------------------------------ , #### OATH OR AFFIRMATION | | This filing, contains (chec…Read the full text as markdown