Full text of SHERMAN & COMPANY LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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 ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68725 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FuNG FOR THE PERIOD BEGIvmNe **01/01/2023** AND ENone **12/31/2023** MM/DD/Y **A. REGISTRANT IDENTIFICATION** NAME OF R~. Sherman & Company LLC MM/DD/YY TYPE OF REGISTRANT (check all applicable boxes): [ Broker-dealer D Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 6302 Fairview Road, Ste 320 (No. and Street) Charlotte (City) NC (State) 28210 (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Pamela Carico (Name) 803-325-5265 (Area Code Telephone Number) **B. ACCOUNTANT IDENTIFICATION** pcarico@sherman-company.com (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Goldman & Company C.P.A.s (Name -if individual, state last, first, and middle name) 3535 Roswell Road, Suite 32 (Address) Marietta (City) GA (State) 30062 (Zip Code) **l"** of **Registration with PCAOB)lif appkablel FOR OFFICIAL USE ONLY (PCAOB Registration Number,** if **applkable)** 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)(1)(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 AFFIRMATION** | | I, F Laughton Sherman<br>swear (or affirm) that, to the best of my knowledge and belief, the | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown