# GRIFFIN FINANCIAL GROUP, LLC X-17A-5 (2022-03-11) — Broker-dealer annual report - Company: GRIFFIN FINANCIAL GROUP, LLC - Form: X-17A-5 - Filed: 2022-03-11 - Period: 2021-12-31 - Accession: 0001146330-22-000001 - CIK: 1146330 - File #: 8-53711 - Type: Broker-dealer - Material weakness: No - Auditor: TOMASI & COMPANY - Auditor location: WYOMISSING, PA - Contact: John A Durofchalk - Phone: 6104782134 - Signed by: JOHN DUROFCHALK (FINOP) Original filing: https://www.sec.gov/Archives/edgar/data/1146330/000114633022000001/publicfixed2.pdf --- {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
MM/DD/YY | AND ENDING | 12/31/21
mm/00/re | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|------------------------------------------------|--------------------------------------------------------|----------------------|--|--|--|--| | REGISTRANT IDENTIFICATION
A. | | | | | | | | | | NAME OF FIRM: __ GRIFFIN FINANCIAL GROUP, LLC | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):
El Security-based swap dealer
N Broker-dealer
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
(No. and Street) | | | | | | | | | | | READING | PA | | 19601 | | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | John Durofchalk
(Name) | | 610-478-2134
(Area Code — Telephone Number) | JOHN.DUROFCHALKCGRIFFINFINGROUP.COM
(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)
(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 information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION #### John Durofchalk I, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of GRIFFIN FINANCIAL GROUP, LLC, , as of DECEMBER 31 , 2 \_ 021 , is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. Signature: CFCNFIN.P K t1Larnf6cubk. Notary Public ### This filing\*\* contains (check all applicable boxes): - · (a) Statement of financial condition. - - (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X). - (d) Statement of cash flows. - (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - (f) Statement of changes in liabilities subordinated to claims of creditors. - 0 (q) Notes to consolidated financial statements. - 0 (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - (i) Computation of tangible net worth under 17 CFR 240.18a-2. - 0 - (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable. - (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - 0 (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - 0 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. - 0 (o) Reconciliations, including apropriate explanations, of the FOCUS Report with computation of net capible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist. - - 0 (q) Oath or affirmation in accordance with 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - 0 - (s) Exemption report in accordance with 17 CFR 240.18a-7, as applicable. - (t) Independent public accountant's report based on an examination of the statement of financial condition. - (u) Independent public accountant's report based on an examination of the financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - 0 (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - 0 as applicable. - (y) Report describing any material inadequacies found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k). - 0 - \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as applicable. Commonwealth of Pennsylvania - Notary Seal CAREN B. DeANTONIO, Notary Public Berks County My Commission Expires July 13, 2025 Commission Number 1216667 Title: {2}------------------------------------------------ #### - - ## | | !"#" | |---------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------| | | | | \$%&'
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