Full text of AUERBACH GRAYSON & COMPANY LLC's X-17A-5/A filed 2020-05-01 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | OMB APPROVAL | |-------------|--------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | | Estimated average burden | | | hours oerresoonse 12.00 | | SEC FILE NUMBER | | |-----------------|--| | B-45136 | | FACING PAGE Information Required of Brokers a nd Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/19 | | ANO ENDING 12/31/19 | --------------------~-----------------<br>MM/DD/YY | | |--------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------|----------------------------------------------------|--| | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Auerbach Grayson and Company LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 25 W 45th Street, Suite 16 | | | | | | | (No and Street) | | | | | New York | NY | 10036 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Sharon Gaviria 212-453-3516 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opin ion is contained in this Report* | | | | | | Eisner Amper LLP | | | | | | | (Name - if individual, state lasl, first. middle name) | | | | | 750 Third Ave | New York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I/' I | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | B | 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 of facts and circumstances relied on as the basis for the exemption. See Section 240. /7a-5(e)(2)* > Potential persons who are to respond to the collection of information comtained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}…Read the full text as markdown