Full text of TOCQUEVILLE SECURITIES L.P.'s X-17A-5/A filed 2023-05-09 (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 FLNANCIAL CONDITION DECEMBER 31, 2022 AND 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART Ill FACING PAGE OMS APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden !\ours per response: 12 SEC FILE NUMBER 8-42223 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 /22 MM/00/YY AND ENDING 12/31 /22 MM/00/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Tocqueville Securities L.P. TYPE OF REGISTRANT (check all applicable boxes): [!] 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 .0. 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@tocqueville.com (Name) (Area Code - Telephone Null!lber) {Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Citrin Cooperman & Co1 mpany. LLP {Name - if individual, state last, first, and middle name) 709 Westchester Avenue White Plains NY 10604 (Address) (City) (State) (Zip Code) 11/02/2005 2468 rt< of''''"'"''" with PCAOB)(lf •Pl>lk•bl•J FOR OFFICIAL USE ONLY (PCAOB R•~•1"tloo N"mb•<. If •Pl>li"bl•I I • Claims for exemption from the requirement that the annual reports be covered by the repolits 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)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not re,quired to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION I, Seoll Schlesinger swear (or affirm) that, to the ben of my knowledge and belief, the financial report pertaining to the firm of Tocqueville Securities LP. as of 12/31 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary Interest in…Read the full text as markdown