Full text of PRAGER & CO., LLC's X-17A-5 filed 2022-03-29 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (SEC ID. No. 8-39048) FINANCIAL STATEMENT December 31, 2021 PUBLIC DOCUMENT Filed pursuant to 17a-5(e)(3) as a Public Document. {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-39048 **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 | ----------<br>01/01/21 | AND ENDING | -----------<br>12/31/21 | | |---------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | ___<br>NAME OF FIRM:<br>P_ra_g_e_r_&_C_o_._, _LL_C | ___________________ | | _ | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | ~ Broker-dealer<br>□ Security-based swap dealer | | □ 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.) | | | | | | One Embarcadero Center 16th Floor | | | | | | | (No. and Street) | | | | | San Francisco | California | | 94111 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Rhett Thurman | (415) 403-1900 | | rhett. thurman@prager.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Grant Thornton LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 4695 MacArthur Court Suite 1600 | Newport Beach | California | 92660 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/04/2003 | | 248 | | | | rte of Reg;,t,at;o, w;th PCAOB)(" applkable) | | | (PCAOB Reg;strafo, N,mbe,, ;f appUcable) I | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* 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 o…Read the full text as markdown