Full text of BERENSON & COMPANY, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (a wholly-owned subsidiary of Berenson & Company, Inc.) 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** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-43368 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **\_0\_1\_/0\_1\_/\_2\_0\_2\_1** \_\_ AND ENDING **\_1\_2\_/3\_1\_/2\_0\_2\_1 \_\_** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: \_\_ B\_e\_r\_e\_n\_s\_o\_n\_&\_C\_o\_m\_p\_a\_ny\_, L\_L\_C \_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): iii!!! Broker-dealer □ Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 667 Madison Avenue, 24th floor (No. and Street) New York NY (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10065 (Zip Code) Michael Lewis 212 446 1735 mlewis@BerensonCo.com (Name) (Area Code - Telephone Number) (Email Address) **8. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Eisner Amper LLP (Name - if individual, state last, first, and middle name) 733 Third Avenue New York NY 10017 (Address) (City) (State) (Zip Code) 9-29-2003 274 rte of Roglstnrtlo, with PCAOBJ{lf applieabl,} **FOR OFFICIAL USE ONL y** IPCAOB Registratl~ Nombe,, If ·•~'"'"'I I • Claims 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-5(e)(l)(i1), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I,<br>Michael Lewis | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------|---------------------------------------------------------------------------------------…Read the full text as markdown