Full text of ABG SUNDAL COLLIER INC.'s X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **FINANCIAL STATEMENT 2023** ABG Sundal Collier, Inc.  {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER **FACING PAGE** lriformation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **0 1/01 /23** MM/DD/VY AND ENDING 12131123 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : ABG SUNDAL COLLIER INC. TYPE OF REGISTRANT {check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 140 BROADWAY, SUITE 4604 (No. and Street) NEW YORK NY 10005 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING NORA SIMONSEN 212-605-3822 NORA.SIMONSEN@ABGSC.COM (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* MAZARS USA LLP (Name - if individual, state last, first, and middle name) 135 WEST 50TH STREET NEW YORK NY 10020 (Address) (City) (State) (Zip Code) 10/08/2003 339 **rte of Reg;~,at;oo w;th PCAOBJ(;f appUcable) FOR OFFICIAL USE ONLY (PCAOB Reg;strat,oo N,mbec, ;1 appUcable)** 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-S(e)(1)(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}------------------------------------------------ #### **OATH OR AFFIRMATION** | | swear (or affirm) that, to the best of my knowledge and belief, the<br>I, NORA SIMONSEN | |------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | 2~<br>financial report pertaining to the firm of ABG SUNDA…Read the full text as markdown