Full text of AMHERST PIERPONT SECURITIES LLC's X-17A-5 filed 2020-11-30 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Amherst Pierpont Securities LLC and Subsidiary** **Consolidated Financial Statements and Supplementary Schedules Pursuant to Rule 17a-5 Under the Securities Exchange Act of 1934 and Regulation 1.10(g) of the Commodity Exchange Act** **September 30, 2020 (Confidential Treatment Requested)** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 ## SEC FILE NUMBER 8-68282 **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 10/01 /19 | | AND ENDING 09/30/20<br>- | ---------- | |----------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|--------------------------|-----------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | A. | REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Amherst Pierpont Securities LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | 245 Park Avenue (15th Floor) | | | | | | (No. and Street) | | | | New York | New York | | 10167 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Paul Vitale | | | (646) 776-7769<br>(Area Code -<br>Telephone Number) | | B. | ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>KPMG LLP | | | | | | (Name -<br>if individual. state last. first. middle name) | | | | 345 Park Avenue | New York | New York | 10154 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>I✓ I<br>□<br>Certified Public Accountant<br>□<br>Public Accountant | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l7a-5(e)(2)* > **Potential persons who are to respond t…Read the full text as markdown