Full text of WYSER-PRATTE & CO., INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | 0MB APPROVAL | |-------|---------------------------| | | 0MB Number: 3235-0123 | | | Expires: October 31, 2023 | | | Estimated average burden | | hours | onsc 12.00<br>r re | | | I<br>I | | | SEC FILE NUMBER | | | . 8-43418 | ### **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTill** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section** 17 **of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | _<br>___,,0=I/=0=1/2=0<---- | AND ENDING --=12=/3~1.l-::/2~0 | ___<br>_ | |---------------------------------------------------------------------------|------------------------------------------------|-------------------------------------|------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATIO | | | | NAME OF BROKER -<br>DEALER: | | | | | Wyser-Pratte & Co., Inc. | OFFICIAL USE ONLY | | | | | flRM[D_ 0 . | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 100 S. Bedford Road Suite 312 | | | | | (No. and Street) | | | | Mt. Kisco | NY | | 10549 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSO | | TO CONTACT IN REGARD TO THIS REPORT | | | Howard Spindel | (212a897-1688 | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | B. ACCOUNT ANT IDE TIFICATIO | | | | | Raich Ende Malter & Co. LLP | | | | (Name - | if individual, state last, 6.rst, middle name) | | | | 1375 Broadway:,_lflloor | New York | NY | 10018 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | ~ Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the ammal 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 240.17a-5(e)(2).SEC* 1410 (3-91) {1}------------------------------------------------ Statement of Financial Condition December 31, 2020 {2}------------------------------------------------ ### **TABLE OF CONTENTS** ### **This repon** \*\* **contains (check all applicable boxes):** - [x] Independent Auditors' Report - [x] Facing Page. - LxJ Statemen…Read the full text as markdown