Full text of SANDLER, O'NEILL & PARTNERS, L.P.'s X-17A-5 filed 2020-03-03 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2019 (Filed Pursuant to SEC Rule 17a-5(e)(3) as a public document) {1}------------------------------------------------ | Facing Page to Form X-17A-5 | 2A | |---------------------------------------------------------|------| | Affirmation of Officer | 2B | | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Notes to Statement of Financial Condition | 5-14 | {2}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours perresponse ...... 12.00 SEC FILE NUMBER 8-40214 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 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 | ___<br>0_1_f0_1_/_1_9 | ___<br>AND ENDING | __<br>___<br>_<br>1_2_/3_1_/_1_9 | |---------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------|----------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Sandler O'Neill & Partners, L. p. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM l.D. NO. | | | | 1251 Avenue of the Americas, 6th Floor | | | | | (No. and Street) | | | | New York | NY | | 10020 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>May Della Pietra | | | 212.466.7785 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | BOO USA, LLP | | | | | (Name - if individual, state last, first, middle name) | | | | 100 Park Avenue | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I/' I<br>certified Public Accountant | | | | | DPublic Accountant | | | | | OAccountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemptionji·om the requirement that the annual report be covered by the opinion of an independent public accountant must…Read the full text as markdown