Full text of ABG SUNDAL COLLIER INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL STATEMENT 2019 ABG Sunda! Collier, Inc.  {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response. 12.00 | SEC FILE NUMBER | |-----------------| | 8-44768 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2019 | AND ENDING | 12/31/2019 | |---------------------------------|------------|------------|------------| | | MM/DD/YY | | MM/DD/YY | # A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER:.ABG SUNDAL COLLIER, INC. ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) # 850 THIRD AVENUE, SUITE 9-C | | (No. and Street) | | | |----------|------------------|------------|--| | NEW YORK | NEW YORK | 10022 | | | (City) | (State) | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT NORA SIMONSEN 212-605-3822 (Area Code — Telephone Number) OFFICIAL USE ONLY FIRM I.D. NO. # B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* # MAZARS USA LLP (Name — if individual, state last, first, middle name) | 135 WEST 50TH STREET | NEW YORK | NEW YORK | 10020 | |--------------------------------------------------------------------------|-----------------------|----------|------------| | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | ■<br>Publ is Accountant | | | | | ■<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement offacts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) > Potential 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 OMB control number. SEC 1410 (06-02) {2}------------------------------------------------ ### OATH OR AFFIRMATION | I. NORA SIMONSEN | | , swear (or affirm) that, to the best of…Read the full text as markdown