Full text of DREXEL HAMILTON, LLC's X-17A-5/A filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | # **ANNUAL REPORTS FORM X-17A-S PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-67576 | | | FILING FOR THE PERIOD BEGINNING 01101121 | --------- | AND ENDING 12131121 | | ---------- | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------|--------------------|--------------------------------------------| | | MM/DD/VY | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: DREXEL HAMILTON, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii 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.) | | | | | | 77 WATER STREET, SUITE 201 | | | | | | | (No. and Street) | | | | | NEW YORK | NY | | | 10005 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | MICHAEL T MARRONE | 646-930-1906 | | MMARRONE@DREXELHAM | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RAINES FISCHER, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 555 FIFTH AVENUE SUITE 901 | NEW YORK | | NY | 10017 | | (Address) | (City) | | (State) | (Zip Code) | | 11/05/2009 | | 3760 | | | | lte<br>of Regl,tratloo with PCAOBII• appll<able) | | | | (PCAOB Regotratioo N,mbec, If ap,;<able) I | • Claims for exemption from the requirement that the annual reports be covered by the 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)(l)(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 0MB control number. {1}------------------------------------------------ #### OATH **OR AFFI…Read the full text as markdown