Full text of GORDIAN KNOT INC.'s X-17A-5 filed 2021-12-10 (period 2021-09-30). 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 OM8 APPROVAL OMB Number. 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| 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 \_\_\_ 1\_0l\_1\_ 12\_ 0\_ 2\_o \_ \_ AND ENDING \_\_\_ 9\_1\_ 30\_1\_ 2\_02\_1 \_ \_ \_ MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: \_ \_ G\_or\_d\_ia\_n\_K\_no\_t\_l\_n\_c\_. ----- - - --- ---- - ------- TYPE OF REGISTRANT (check all applicable boxes): l&J Broker-dealer 0 Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 42 Broadway, Suite 12-129 (No. and Street) New York NY (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10004 (Zip Code) Juliette Saisselin (917) 547-3726 Juliette.S@gordianknotinc.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WithumSmith+Brown, PC (Name - if individual, state last, first, and middle name) 1411 Broadway, 23ird Floor (Address) 10/8/2003 New York (City) NY (State) 100 10018 (Zip Code) T te of Reg;""uon wOh PCAOB)(W oppll<able) FOR OFFICIAL USE ONLY (PCAOB Regl>t•ot;on N"mb..-, • opplloable) I •Claims for exemption from the requirement that the annual reports be covered by the repo rts of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l )(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | Juliette Saisselin<br>1, | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------|---------------------------------------------------------------------|-------| | financial report pertaining to the firm of | Gordian Knot Inc. | as of | September 30 2~ is true and correct. I further swear (or affirm) t…Read the full text as markdown