Full text of JOSEPH GUNNAR & CO. LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **JOSEPH GUNNAR & CO., L.L.C. STATEMENT OF FINANCIAL CONDITION December 31, 2020** {1}------------------------------------------------ **UMTEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington,D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... . . 12.00 | SEC FILE NUMBER | |-----------------| | B-41386 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section** 17 **of the Secu.-ities Exchange Act of 1934 and Rule 17a-5 The1·eunder** | REPORT FOR THE PERIOD BEGINNING 0 1/01 /20 | | AND ENDJNG 12/31 /20 | | | |-------------------------------------------------------------------|---------------------------------------------------------------------------|----------------------|---------------------------------|--| | | Ml\,1/DD/YY | | -----------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Joseph Gunnar & Co., L.L.C. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P O Box No .) | | | FIRM 1. 0 . NO. | | | 30 Broad Street, 11th Floor | | | | | | | (No. and Street) | | | | | New York | NY | 10004 | | | | (City) | (State) | (Lip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THI | REPORT | | | | Stephan Stein | | | 212-440-9600 | | | | | | (Area Code - Te lephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Alperin Nebbia & Associates, CPA, PA | | | | | | | ( ame - if individual. state last, first. middle name) | | | | | | 375 Passaic Avenue, Suite 200 Fairfield | NJ | 07004 | | | (Address) | (City) | (State) | (Zip Co de) | | | CHECK ONE: | | | | | | ✓ I ce<br>rtified Publi c Accountant | | | | | | li c Acco untant | | | | | | | Acco unt nt not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption J,-0111 the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement a/facts and circumstances relied on as the basis.for the exemption. See Section 240.* J *7a-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 for…Read the full text as markdown