Full text of GAM SERVICES INC.'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}------------------------------------------------ Financial Statements and Supplemental Information December 31, 2021 (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 sec file number 8-42036 # ANNUAL REPORTS FORM X-17A-5 PART III 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 01/01/2021 | | AND ENDING | | 12/31/2021 | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: GAM Services, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | [] Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | One Rockefeller Plaza, 21st Floor | | | | | | | | (No. and Street) | | | | | | New York | NY | | | 10020 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | John Flaherty | 212-407-4621 | | | jack.flaherty@gam.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Marcum LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 730 Third Avenue | New York | | NY | 10017 | | | (Address) | (City) | | (State) | (Zip Code) | | | 10/16/2003 | | 688 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | * Claims for avamntion from the ranuirement that the annual ronorte of an independent public | FOR OFFICIAL USE ONLY | | | | | tion 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…Read the full text as markdown