Full text of GRIFFIN FINANCIAL GROUP, LLC's X-17A-5 filed 2024-03-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | UNITED STATES | | Expires: Nov. 30, 2026 | 0MB APPROVAL<br>0MB Number: 3235-0123 | | | | | |----------------------------|---------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|-------------------------------------|--------------------------------------------|--|--|--|--| | | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | | | | | | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | | | | FORM X-17A-S | | 8-53711 | | | | | | | | | PART Ill | | | | | | | | | | | FACING PAGE<br>Inform, tion Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange A~ of 1934 | | | | | | | | | | FILING FC R THE PERIOD BEGINNING O 1/01/2023 | | AND ENDING | | 12/31/2023 | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAMEO FIRM: Griffin Financial Group, LLC | | | | | | | | | TYPE OF<br>0 Broke -dealer | EGISTRANT (check all applicable boxes):<br>0 Che k 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 | 1 Vashington Street | | | | | | | | | | | | (No. and Street) | | | | | | | | | Rea< 1ng | | | 19601 | | | | | | | | | {City) | PA<br>{State) | | | {Zip Code) | | | | | | PERSON | 0 CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | John Durofchalk | 610-478-2134 | | john.durofcha1k@griffinfingroup.com | | | | | | | {Name) | | (Area Code -Telephone Number) | | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPEN )ENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | Tom isi & Company | | | | | | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | | | | | | | 1350 Broadcasting Road Wyomissing | PA | | 19601 | | | | | | {Address) | | {City) | {State) | | {Zip Code) | | | | | | 6/9/2 022 | | | 3651 | | | | | | | | | (Date of Re istration with PCA0B)(if applicable) | | | | (PCA0B Registration Number, if applicable) | | | | | | | | FOR…Read the full text as markdown