Full text of AUERBACH GRAYSON & COMPANY LLC's X-17A-5 filed 2022-05-02 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAl<br>OMB Number; 323S-Ol23<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hou~ per response: 12 | | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|----------------------------------------------------------------------------------------------------------------------|--| | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | FORM X-17A-S | | 8-45136 | | | | PART Ill | | | | | FILING FOR THE PERIOD BEGINNING Q 1 /31 /2021 | FACING PAGE<br>Information Requir1ed Pursuant to Rules 17a·5, 17a-12, and 18a·7 under the Securities Exchange Act of 1934<br>MM/00/YY | | AND ENDING 12/31 /2021<br>MM/DO/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Auerbach Grayson and Company LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!) Br oker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer<br>D M | | ajor security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 25W 45th Street | | | | | | | (No. and Street) | | | | | New York | NY | | 10036 | | | (Oty) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Sharon Gaviria | 212-453-3516 | | sgaviria@agco.cm | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Adeptus Partners LLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>(Name - if individual, state last, first, and middle name) | | | | | New Jersey 733 State Rte 35 N Ocean | New Jersey | NJ | 07712 | | | {Address) | (City) | (State) | (Zip Code) | | | 01/06/2010 | | 3686 | | | | (Date of Remtration with PCAOB)(if applicable) | | | (PCAOB Registration Number. if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | CFR 240.17a-S(e)(l)(ii), if applicable. | • Caims tor exemption from the requirement that the annual reports be covered by the reports of an independent public<br>ac.coontant must be supported by a st…Read the full text as markdown