Full text of R. SEELAUS & CO., LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### R. SEELAUS & CO., LLC #### ANNUAL AUDITED REPORT FORM X-17A-5 PART III #### SEC FILE NO. 8-31475 #### FOR THE YEAR ENDED DECEMBER 31, 2021 (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number 3235-0123<br>EKplres: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------|----------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER<br>8-31475 | | | | FORM X-17A-5 | | | | | | PART Ill | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2021 | | | AND ENDING 12/31/2021 | | | MM/DD/VY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: R. Seelaus & Co., LLC | | | | | | lYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here If respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 26 Main St., Suite 300 | | | | | | | (No. and Street) | | | | | Chatham | NJ | | 07928 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Anneliese Mitnick | 908-273-3011 | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | | DeMarco Sciaccotta Wilkens & Dunleavy, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 20646 Abbey Woods Ct. N, Ste. 201 | Frankfort | | 60423<br>IL | | | (Address) | (City) | | (Zip Code)<br>(State) | | | 12/21/2010 | | 5376 | | | | (Date of Registration with PCAOB)(lf aopllcable) | FOR OFFICIAL USE ONLY | | (PCAOB ReRistratlon Number, if applicable) | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an…Read the full text as markdown