Full text of NEEDHAM & COMPANY, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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 31, 2021 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-5 PART 111** | OMA APPROVAL | | |--------------------------|--| | 0MB Number: 3235·0123 | | | Expires: Oct. 31, 20B | | | Estimated average burden | | | hours per response: 12 | | | | | Sl'C FILE NUMBER 8-33772 #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | 01/01/21<br>AND ENDING 12/31/21<br>FILING FOR THE PERIOD BEGINNING ---------- | | | |--------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|-----------------------------------------|---------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Needham & Company, LLC | | | | | TYP.E OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | 0 Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 250 Park Avenue, 10th Floor | | | | | | (No. and Street) | | | | ewYor | New York | | 10177-1099 | | {City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Robert Fiordaliso | 212-705-0363 | | rfiordaliso@needhamco.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>RSM US --LLP ---------------------------- | | | ---- | | | (Name - if individual, state last, first, and middle name) | | | | 4 Times Square 151 W 42nd Street, 191h Floor | New York | New York | 10036 | | (Address) | {City) | (State) | (Zip Code) | | r�=""""<br>09/24/2003 | ""'·""'''I<br>49<br>------<br>-- | | | | "°"<br>wllh '" "" "11" ,,., '"'• "'' - FOR OFFICIA | L U<br>E ON L | ""0' "''"''" ,,, ""' N,m,,,, '' ,,<br>y | | | | S | | | | • Claims for exemption frorn the requirement that the annual reports be covered by the reports of…Read the full text as markdown