Full text of GUZMAN & COMPANY's X-17A-5 filed 2023-03-20 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | 0MB APPROVAL | | | | | |------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|-------------------------------------------------|--|--|--|--| | | SECURITIES AND EXCHANGE COMMISSION | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | | | | Washington, D.C. 20549 | | | | | | | | Estimated average burden<br>hours per response: 12 | | | | | | | | SEC FILE NUMBER | | | | | | | | FORM X-17 A-5 | 8-38646 | | | | | | | PART Ill | | | | | | | | | | | | | | | | FACING PAGE | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | O 1/01/2022<br>12/31/2022 | | | | | | | | AND ENDING<br>FILING FOR THE PERIOD BEGINNING<br>MM/DD/VY<br>MM/DD/VY | | | | | | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | | | Guzman & Company | | | | | | | | NAME oF FIRM: | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | � Broker-dealer | □ Security-based swap dealer<br>□ | Major security-based swap participant | | | | | | □<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.) | | | | | | | | 101 Aragon Avenue | | | | | | | | | (No. and Street) | | | | | | | Coral Gables | Florida | 33134 | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | | | Alexis G. Miller | (305)<br>374 3600<br>agmiller@guzman.com | | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | BOO USA, LLP | | | | | | | | | | | | | | | | 1450 Brickell Avenue 18th Floor | (Name - if individual, state last, first, and middle name)<br>Miami | Florida 33131 | | | | | | (Address) | (City) | (Zip Code)<br>(State) | | | | | | 10/08/2003 | | 243 | | | | | | te of Re�stratloa with PCAOB )(If applicable) | | (PCAOB Regl�ratloa N,mbe,, if applicabJO) | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | r | | I | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independen…Read the full text as markdown