Full text of JOSEPH GUNNAR & CO. LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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, 2021** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-5 PART III** OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-41386 **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 _____________________ AND ENDING ______________________ | 01/01/21 | | | 12/31/21 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|---------------------------------------------------|-----------------------------------------------------------------------------------------------|--------------------------------------------|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: _______________________________________________________________________ | Joseph Gunnar & Co., L.L.C. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>x<br>☐<br>☐<br>Broker-dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ☐<br>Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 1000 RXR Plaza<br>_____________________________________________________________________________________ | | | | | | | | | (No. and Street) | | | | | | | Uniondale | NY<br>_____________________________________________________________________________________ | | | 11556 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | _____________________________________________________________________________________<br>Stephan Stein | 212-440-9600 | | sstein@jgunnar.com | | | | | (Name) | | (Area Code – Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Alperin Nebbia & Associates, CPA, PA<br>____________…Read the full text as markdown