Full text of LEBENTHAL FINANCIAL SERVICES, INC.'s X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # LEBENTHAL FINANCIAL SERVICES, INC # STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | | |----------------|--| | FORM X-17A-5 | | | PART III | | | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours ber response:<br>12 | SEC FILE NUMBER 8-67140 | | | 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 | | 01/01/2021 | AND ENDING | | 12/31/2021 | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: | | Lebenthal Financial Services, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l& Broker-dealer<br>O Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | L Security-based swap dealer | | | | | | 500 N. Broadway, Ste 238 | | | | | | | | | | | (No. and Street) | | | | | | | Jericho | | | NY | | | 11753 | | | (City) | | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | 516-349-5555<br>Michael Hartzman | | | | mhartzman@lebenthal.com | | | | | (Name) | | (Area Code - Telephone Number) | | | (Email Address) | | | | | | B. Accountant Identification | | | | | | | NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | Berkower LLC | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 517 Route One | | lselin | | NJ | | 08830 | | | (Address) | | (City) | | (State) | | (Zip Code) | | | 9/18/2003 | | | | 217 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | \* Claims for exemption from the requir…Read the full text as markdown