Full text of AUERBACH GRAYSON & COMPANY LLC's X-17A-5/A filed 2022-05-05 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | OM B APPROVAL | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|------------------|-----------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Numt>er· 323>-0123<br>Expire Oct 31, 2023 | | Washington, D.C. 20549 | | | Estumted ~·but~ | | | | | hour\ per response· 12 | | | ANNUAL REPORTS | | S£C FILE fl!UMBfR | | FORM X-17A-5 | | | 8-45136 | | | PART Ill | | | | | | | | | | FACING PAGE<br>ul~ 17a·5, 17a·l2, and 18r7 under the Securities Exchange Act of 1934 | | | | tnformmon Required Pursuant to | | | | | FILING FOR THE PERIOD BEGINNING Q 1 /31 /2021 | | | AND ENDING 12/31/2021 | | | MM/00/YY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: Auerbach Grayson and Company LLC | | | | | | | | | | TYPE OF REGISTRANT (check all appl icable boxes): | | | | | [!) Broker-dealer | 0 Security-based swap dealer<br>0 M | | ajor security-based swap participant | | 0<br>Check here 1f respondent is also an OTC derrvat1Ves dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 25W 45th Street | | | | | | (No and Street) | | | | New York | NY | | 10036 | | | | | | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Sharon Gaviria | 212-453-3516 | sgaviria@agco.cm | | | (Name) | (Area Code - Telephone Number) | (Ematl Address) | | | | 8 ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | Adeptus Partners LLC | | | | | | (Name - if individual, stale last, first, and middle name) | | | | New J ersey 733 State Rte 35 N Ocean | New Jersey | NJ | 07712 | | (Address) | (City) | (State) | (Z1,p Code) | | 01/06/2010 | | 3686 | | | (Date of R<br>stration With PCAOB)(if ap hcable) | | (PCAOB Re | ratton Number. 1f a<br>llcable) | | | FOR OFFIOAL USE ONLY | | | | | | | | | • Oa1ms for exemption from the requirement that the annual reports be covered by the reports of an independent publk | | | | | accountant must be supported by a statement of facts and circumstances rehed on as the basis of the exemption See 17<br>CfR 240.17a--S(e)(l)(ii). d applicable. | | | | Persons who are to respond to t:M collection…Read the full text as markdown