Full text of GRIFFIN FINANCIAL GROUP, LLC's X-17A-5 filed 2023-03-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | Expires: Oct, 31, 2023 | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Estimated average burden<br>hours per response: 12. | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|----------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | | | | PART Ill | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules l7a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | 0 1/01 /22 | AND ENDING 12/31 /22 | | | | FILING FOR THE PERIOD BEGINNING | ---------<br>MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME0FF1RM: Griffin Financial Group, LLC | | | | | | | | | | | TYPE OF REGISTRANT (check all appllcable boxes):<br>0 Broker-dealer<br>D Check here If respondent Is also an OTC derivatives dealer | □ Security-based swap dealer | Major security-based swap participant | | | | | 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 | 610-478-2134 | | John.durofchalk@grlfflnflngroup.com | | | (Name) | (Area Code - Telephone Number) | · (Email Address) | | | | | B, ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Tomasi & Company | | | | | | | (Name- If lndlvldual, state last, first, and middle name) | | | | | | 1350 Broadcasting Road Wyomissing | PA | 19601 | | | {Address) | (City) | (State) | (Zip Code) | | | 6/9/2022 | | 3651 | | | | (Date of Registration with PCAOB)(lf applicable) | | (PCAOB Registration Number, If applicable) | | | | | FOR OFFICIAL USE ONl V | | | | | CFR 240.17a-5(e)(1)(11), If applicable. | " Claims for exemption from the requirement that the annual reports be covered by the r…Read the full text as markdown