Full text of SHERMAN & COMPANY LLC's X-17A-5 filed 2021-02-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURJTIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response 12.00 SEC FILE NUMBER 8-68725 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** PU-BL\(\_ FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | RE<br>PO<br>RT<br>F<br>O<br>R<br>T<br>H<br>E<br>PE<br>R<br>IO<br>D<br>BE<br>G<br>IN<br>N | IN<br>G<br>0<br>1/ | 0<br>1/<br>2<br>0<br>2<br>0 | 1<br>A<br>N<br>D<br>E<br>N<br>D<br>IN<br>G | /3<br>/2<br>2<br>1<br>0 | 2<br>0 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------|-----------------------------------------------------------------------------|---------------------------------------------------|------------------------------------------------|---------------------------------------------------------| | | | MM<br>/D<br>D/<br>YY | | MM | fD<br>D/<br>YY | | A | G<br>IS<br>R<br>E | A<br>IC<br>T<br>R<br>N<br>T<br>I<br>D<br>E<br>N<br>T<br>IF | A<br>IO<br>T<br>N | | | | S<br>C<br>h<br>&<br>L<br>L<br>C<br>o<br>r<br>e<br>rm<br>a<br>n<br>NA<br>M<br>E<br>BR<br>O<br>K<br>ER<br>-D<br>EA<br>L<br>ER<br>o<br>m<br>p<br>a<br>n<br>y<br>: | | | O | FF<br>IC<br>IA<br>L<br>US<br>E<br>O<br>N<br>LY | | | A<br>D<br>D<br>R<br>ES<br>S<br>O<br>F<br>PR<br>IN<br>C<br>IP<br>A<br>L<br>PL<br>A<br>C<br>E<br>O<br>F<br>BU<br>S<br>IN<br>ES<br>S<br>(D<br>P.<br>O<br>Bo<br>No<br>.)<br>t<br>:<br>o<br>no<br>us<br>e<br>x | | | | | O<br>FI<br>R<br>M<br>I<br>.D<br>. N | | F<br>i<br>i<br>R<br>d<br>S<br>i<br>t<br>a<br>rv<br>e<br>w<br>o<br>a<br>u<br>e<br>6<br>3<br>0<br>2<br>, | 3<br>2<br>0 | | | | | | | | (N<br>d<br>Str<br>t)<br>o.<br>an<br>ee | | | | | C<br>h<br>rl<br>tt<br>a<br>o<br>e | | N<br>C | | 2<br>8<br>2<br>10 | | | (C<br>ity<br>) | | (S<br>tal<br>e) | | (Z<br>ip<br>Co<br>de<br>) | | | O<br>NA<br>M<br>E<br>A<br>N<br>D<br>T<br>EL<br>EP<br>H<br>N<br>E<br>NU<br>M<br>B<br>ER<br>Pa<br>ela<br>C<br>ico<br>m<br>ar | O<br>F<br>PE<br>R | SO<br>TO<br>C<br>O<br>C<br>N<br>NT<br>A<br>T<br>IN<br>R | EG<br>TO<br>IS<br>A<br>R<br>D<br>T<br>H<br>R | PO<br>E<br>RT<br>9<br>(70<br>4) | 43<br>-2<br>67<br>1 | | | | | | (A<br>C<br>od<br>rea | Nu<br>be<br>r)<br>T<br>ele<br>ph<br>e -<br…Read the full text as markdown