Full text of GUZMAN & COMPANY's X-17A-5 filed 2024-04-05 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-38646 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill **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 **01/01/2023** MM/DD/VY AND ENDING 1213112023 MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM : Guzman & Company TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant □ 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 | FL | | 33134 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Alexis G. Miller | (305) 37 4 3600 | | agmiller@guzman.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | BOO USA, P.C. | | | | | | | 1450 Brickell Avenue 18th Floor | (Name - if individual, state last, first, and middle name)<br>Miami | Fl | 33131 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/08/2003 | | 243 | | | | | rte of Registcafoo with PCAOB )(if applicable) | | | (PCAOB Registratioo N,mbe,, if applicable) | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(ii), if applicable. **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Alexis G. Miller | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------------------|-----------------------------------…Read the full text as markdown