Full text of EMMET & CO, INC.'s X-17A-5 filed 2023-06-12 (period 2023-03-31). 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 REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-33073 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 04/01/22 | | | | AND ENDING 03/31/23 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|---------|--|---------------------|------------| | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Emmet & Co., Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Security-based swap dealer<br>Major security-based swap participant<br>· Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 12 Peapack Road | | | | | | | (No. and Street) | | | | | | | Far Hills | | NJ | | | 07931 | | (City) | | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Maru Pineiro | 908-234-1666 | | | maru@emmetco.com | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | Berkower LLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 517 Route One, Ste 4103 | lselin | NJ | 08830 | |--------------------------------------------------|-----------------------|--------------------------------------------|------------| | (Address) | (City) | (State) | (Zip Code) | | 09/18/2003 | | 217 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not requ…Read the full text as markdown