Full text of ABG SUNDAL COLLIER INC.'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}------------------------------------------------ # FINANCIAL STATEMENT 2021 ABG Sundal Collier, Inc.  {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | 0MB APPROVAL 0MB Nurnber: 3235-0123 Expires: Oct. 31, 2023 Estimated i!Verage burclen hours per response: 12 | SEC FILE NUMBER | | |-----------------|--| | | | **FACING PAGE Information Required Pursuant to Rures 17a-5, 17a-1Z, and 18a-7 under the.Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 01/01/21 \_\_ AND ENDING \_\_\_ 12/31/21 \_\_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFlCATION** NAME Of FIRM: --'ABG SUNDAL COUIER INC \_\_\_\_\_\_ \_ \_ \_ ~ ------- TYPE Of REGISTRANT (check all applfcable boxes): ~ Broker-dealer □ Security-based swap dealer D Check h\_ere if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. bol.< no.) \_8SQ THIRD AVENUE, SUITE 9C \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ ~---- (No. and Street) \_NEW YORK, NY 10022 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING \_NORA SIMONSEN, \_212-605-3822,\_ NORA.SIMONSEN@ABGSC.COM \_\_\_\_\_\_\_\_ \_ (Nam.el '(Area Code-Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* \_MAZARSUSA LLP \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ (Name - lf individual, state last, first, and middle name) \_135 WEST 50TH STREET, NEW YORK, NY 10020 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ (Address) (City) (State) (Zip Code) \_10/08/2003 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 339 \_\_\_\_\_\_\_\_\_ \_ (Date of Registration with PCAOB)lif applicable) (PCAOB Registration Number, if aoollt::.able) **FOR OFFICIAL USE ONLY** \* Claims for exempt ion from the requiremeot that the annual reports be covered by the reports of an independent·publlc accountant must be supported by a statement offacts and circumstances relied on as the basis of the exemption. See 17 CFR.240.17a-5(e)(l )(ii), 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}----------------------------------------…Read the full text as markdown