Full text of GRIFFIN FINANCIAL GROUP, LLC's X-17A-5 filed 2022-03-11 (period 2021-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC | FILE | NUMBER | | |-----|------|--------|--| 8-53711 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 | | 01/01/21<br>MM/DD/YY | AND ENDING | 12/31/21<br>mm/00/re | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|------------------------------------------------|--------------------------------------------------------|----------------------|--|--|--|--| | REGISTRANT IDENTIFICATION<br>A. | | | | | | | | | | NAME OF FIRM: __ GRIFFIN FINANCIAL GROUP, LLC | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>El Security-based swap dealer<br>N Broker-dealer<br>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.) | | | | | | | | | | 607 WASHINGTON STREET<br>(No. and Street) | | | | | | | | | | | READING | PA | | 19601 | | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | John Durofchalk<br>(Name) | | 610-478-2134<br>(Area Code — Telephone Number) | JOHN.DUROFCHALKCGRIFFINFINGROUP.COM<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | TOMASI & COMPANY | | | | | | | | | | (Name if individual, state last, first, and middle name) | | | | | | | | | | 1350 BROADCASTING ROAD | | WYOMISSING | PA | 19601 | | | | | | (Address) | | (City) | (State) | (Zip Code) | | | | | | 6/16/2021 | | | 3651 | | | | | | | (PCAOB Registration Number, if applicable)<br>(Date of Registration with PCAOB)(if applicable) | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | \* Claims for exemption from the requirement that the annual reports 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of infor…Read the full text as markdown