Full text of M.M. DILLON & CO. LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # M.M. DILLON & CO. LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 {1}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . . . . . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-37893 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2019<br>MM/DD/Y Y | AND ENDING | 12/31/2019<br>MM/DD/YY | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------|--|--|--| | A. RECISTRANT IDENTIFICATION | | | | | | | | | NAME OF BROKER-DEALER: M.M. Dillon & Co. LLC | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | One Sound Shore Drive | | | | | | | | Greenwich | (No. and Street)<br>City | | 06830 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Michael Espinal | | | 203 589 6800 | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | Sanville & Company | (Name - if individual, state last, first, middle name) | | | | | | | 1514 Old York Road | Abington | PA | 19001 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | *Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant<br>must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) | | | | | | | Potential persons who are to respond to the collection of Information contained in this fo…Read the full text as markdown