Full text of FOG EQUITIES LLC's X-17A-5/A filed 2023-10-10 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FOG Equities, LLC Annual Audit Report December 31, 2022 Public Document {1}------------------------------------------------ | | | | 0MB APPROVAL | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------|---------------------------------------------------|--|--| | | · UNITED STATES | | 0MB Number: 3235-0123 | | | | | SECURITIES AND EXCHANGE COMMISSION | | Expires: Oct 31, 2023<br>Estimated average burden | | | | | Washington, D.C. 20549 | | hours per response:<br>12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | "~<br>FORM,X 17A S, | | | ,. · ·• ;8-68831 | | | | | PART Ill | | | | | | | | | | | | | • | FACING PAGE<br>,,<br>_ ,. | '<br>·,--r. ,,,,<br>U:IY'\t"'' | • | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING 1/1/22 | ----M-M-/D_D_/_YY___ | AND ENDING 12131122 | __<br>_ ____<br>_<br>M_M_/_D-0/_Y_Y | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: FOG Equities, LLC | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | ~ Broker-dealer | □ Security-based swap dealer | | 0 Major security-based swap participant | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 209 S. LaSalle Street, Suite 502 | | | | | | | | (No. and Street) | | | | | | Chicago | IL | | 60604 | | | | (City) | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Helene Berson | 415-203-3960 | | hbersoncpa@gmail.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | | | Ryan & Juraska LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 141 W. Jackson Blvd., Suite 2250 | Chicago | IL | 60604 | | | | (Address) | (City) | | (State)<br>(Zip Code) | | | | 3/24/09 | | 3407 | | | | | {Date of Re11:istration with PCAOB){if applicable) | | | {PCAOB Registration Number, if applicable) | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemptio…Read the full text as markdown