Full text of S.L. REED & COMPANY's X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **S.L. REED & COMPANY** FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-49178 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01 /01 /22** AND ENDING **12/31 /22** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: S.L. Reed & Company TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 11111 Santa Monica Blvd., Suite 1200 | | | (No. and Street) | | | | | |---------------------------------------------------------------------------|--------------|------------------------------------------------------------|------------|------------------|--|--| | | Los Angeles | | California | 90025 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Stephan R. Pene | 310-893-3006 | | | spene@slreed.com | | | | (Name) | | (Area Code -Telephone Number)<br>(Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | LMHS, P.C. -Certified Public Accountants and Advisors | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | | | 80 Washington Street, Bldg S | Norwell | MA | 02061 | | | | |-------------------------------------------------|-----------------------|---------|---------------------------------------------|--|--|--| | (Address) | (City) | (State) | (Zip Code) | | | | | 2/24/2009 | | 3373 | | | | | | (rte of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable)I | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be…Read the full text as markdown