Full text of GUZMAN & COMPANY's X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | | | | 8-38646 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | Q1 /Q1/202Q | AND ENDING | 12/31/2020 | | | |---------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|--------------------|-------------------------------------------------|--|--| | | MM/DDNY | | MMIDDNY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: Guzman & Company | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | | | 101 Aragon Avenue | | | | | | | | (No. and Street) | | | | | | Coral Gables | Florida | | 33134 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Alexis G. Miller | | | (305) 374 3600<br>(Area Code -Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>BOO USA, LLP | (Name - if individual, state last, first, middle name) | | | | | | | | | | | | | 1450 Brickell Av. 18th Floor<br>(Address) | Miami<br>(City) | Florida<br>(State) | 33131<br>(Zip Code) | | | | a<br>CHECK ONE:<br>I ✓I certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the e,xemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid OMBcontrol number.** {1}------------------------------------------------ # **OATH OR AFFIRMATION** **I, \_A\_l\_ex:\_i\_s\_G\_.\_M\_il\_le \_r \_\_\_\_\…Read the full text as markdown