Full text of NEEDHAM & COMPANY, LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (An Indirect Wholly Owned Subsidiary of The Needham Group, Inc.) Statement of Financial Condition December 3 1,20 19 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ - - UNITED **STATES** QMB APPROVAL **SECURITES AND EXCHANGE COMMISSION OMB Number:** 3235-01 23 **Washington, D.C.** 20549 Expires: August 31,2020 # **ANNUAL AUDITED REPORT FORM X-17A-5** **Estimated average burden PART Ill** m SEC FILE NUMBER | SEC FILE NUMBER | |-----------------| | 8-33772 | **FACING** PAGE ## **Infor~nation Required of Brokers and Dcalers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | |--------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------|-----------------------------------------------------------|------------------|--| | REPORT FOR THE PERIOD BEGINNING, - - | 01/01/19<br>-- | -<br>AND ENDING 12/31/19 | - | | | | MMIDDIYY | | MMIDDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Needham & Company, LLC | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 250 Park Avenue, 10th Floor | | | | | | -, | ,,<br>(No. and Street) | | | | | New York | New York | | -.--- | | | (city) | (State) | | .-<br>(Zip Code) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>RSM US LLP | B. ACCOUNTANT IDENTIFICATION<br>-<br>-<br>-<br>(Name - Vindividual, sfafe lasf, | J?rs/, middle na111e) | -<br>--," | | | 4 Times Square, 151 W 42nd Street. 19th Floor | -<br>New York | New York | 10036 | | | (Address) | (City) | (State) | (Lip Code) | | | !<br>CHECK ONE:<br>Certified Public Accountant<br>-<br>Publit: Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | ~~~~~~~~~~CIAL USEONLY | | | | | | | | I | | *\*Claims for exernptionfvoin the requiremen1 fhaf the annual reporf be covered by the opinion ofan independen! public accountanl mus! be supported by a sfatenlenf offacfs and circu~n,rtances relied on ns tlze basis for the exemption. See Section 240.1* **7~-5(e))(2)** **Potential persons who are to respond to the collection of information contained…Read the full text as markdown