Full text of DUNN RUSH & CO. LLC's X-17A-5 filed 2020-02-21 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL STATEMENT December 31, 2019 {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | OMB APPROVAL | | |--------------------|--------------------------|-----------| | OMB Number: | | 3235-0123 | | Expires: | August 31, 2020 | | | | Estimated average burden | | | Hours per response | | 12.00 | SEC FILE NUMBER 68293 8- # ANNUAL AUDITED REPORT FORM X-17A-5 PART III ### 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 | AND ENDING | 12/31/2019 | |--------------------------------------------------------------------------|------------------------------|------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. RECISTRANT IDENTIE CATION | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | Dunn Rush & Co. LLC | | | FIRM I.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 225 Franklin Street, 26th Floor | | | | | | (No. and Street) | | | | Boston | MA | | 02 010 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Kevin Dunn | | | 617-451-0001 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFCATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Knight Rolleri Sheppard CPAS, LLP | | | | | (Name - if individual, state last, first, middle name) | | | | | 1499 Post Road, Suite 1040 | Fairfield | CT | 06824 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | X<br>Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | COD OFFICIAL TISE 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 240.17a-5(e)(2). > Potential 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 OMB control number. SEC 1410 (06-02) CONFIDENTIAL TREATMENT REQUESTED {2}------------------------------------------------ ## OATH OR…Read the full text as markdown