Full text of SIGULER GUFF GLOBAL MARKETS, LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # SIGULER GUFF GLOBAL MARKETS, LLC (A Limited Liability Company) STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 {1}------------------------------------------------ {2}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer resoonse ... ,,, 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill SEC FILE NUMBER B-68996 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 | ____<br>0_1 /_0_1_/2_0_1_9<br>MM/DD/YY | __<br>___<br>AND ENDING<br>1_2_/3_1_/2_0_1_9_~<br>MM/DD/YY | | | | |-----------------------------------------------------------------------------------------------|----------------------------------------|---------------------------------------------------------------------|---------|----------------------------------------------|--| | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | Siguler Guff Global Markets, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM l.D. NO. | | | 200 Park Avenue, | | 23rd floor | | | | | | | (No. and Street) | | | | | New York | | NY | | 10166 | | | (City) | | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Chad Kirschenblatt | | | | 5162229111<br>(Area Code - Tekphoni: Numb~r) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | | | | Rotenberg Meril Solomon Bertiger & Guttilla, P.C. | | | | | | | (Name - if indi11idual, state last, first, middle name) | | | | | 369 Lexington Avenue, 25th Fir New York | | | NY | 10017 | | | (Address) | | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | | I,/ I<br>Certified Public Accountant<br>Public Accountant | | | | | | | B | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant 1nust be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See Section 240./7a-5(e)(2)* > Poten…Read the full text as markdown