Full text of CELADON FINANCIAL GROUP LLC's X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED Sf A TES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours rres nse .... . . 12.00 SEC FILE NUMBER B-47288 # ANNUAL AUDITED **REPORT** FORM X-17A-5 **PARTIII** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING JANUARY | 2020<br>1, | AND ENDING DECEMBER | 2020<br>31, | | | |--------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------|--------------------------------|--|--| | | MM/DDNY | | MM/0D/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | OFFICIAL USE ONLY<br>CELADON FINANCIAL GROUP, LLC | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | | 19CENTERST | | | | | | | (No. and Slreet) | | | | | | CHATHAM | NJ | | 07928-2599 | | | | (City) | (Slate) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THlS REPORT<br>DARYL S. HERSCH | | | 973-701-8033 | | | | | | | (Arca Code - Telephone Number) | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | | | LLC<br>BERKOWER | | | | | | | (Name - if individual. state last.first. middle namt) | | | | | | 517 ROUTE ONE SOUTH STE 4103 | !SELIN | NJ | 08830 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | §<br>Certified Public Accountant<br>Public Accountant | 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 slatemenl of facts and circumstances relied on as the basis for the exemption. See Section 240. I* 7 *a-5 (e)(l)* > Potential , persons who are to respond to the collectton of lnformall4>n contained In this .form are not required to respond unless the form **dlsplaysa** currently valid 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, DARYL S. HERSCH |…Read the full text as markdown