Full text of TOCQUEVILLE SECURITIES L.P.'s X-17A-5 filed 2023-03-14 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### TOCQUEVILLE SECURITIES L.P. STATEMENTS OF FINANCIAL CONDITION" DECEl\IIBER 31, 2021 AND 2020 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-42223 Information Required Pursuant to Rul'es 17a·S, 17a·12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01 /01 /2021 MM/00/YY AND ENDING 12/31 /2021 MM/00/YY <sup>~</sup>REGISTRANT IDENTIFICATION NAM1eoF FIRM: Tocqueville Securities L.P. TYPE OF REGISTRANT (check all applicable boxes): GJ Broker-dealer 0 Security-based swap dealer 0 Check here If respondent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 40 W 57th Street 19th Floor (No. and Street) New York NY 10019 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Helen Balk 212-698-0814 hbalk@tocquevilie.com (Name) {Area Code-Telephone Number) (Em:ail Addres.s) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• Citrin Cooperman & Co LLP (Name - if individual, state last, first, and mlddle name) 709 Westchester Avenue White Plains NY 10604 (Address) (City) (State) (Zip Code) 11/02/2005 2468 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY • Oaims 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 of the exemption. See 17 CFR 240.17a-S(e)(l)(li), if appllcable. Persons who are to respond t o the collection of information contained in tlils form are not req1uired to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | I, Scott Schlesln9er | | | ~wear (or affirm) th<it, to the best of my knowledge and belief, the | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------…Read the full text as markdown