Full text of ABG, LLC's X-17A-5 filed 2020-07-01 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ..... . 12.00 | SEC FILE NUMBER | |-----------------| | 8-69577 | #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Ruic l 7a-5 Thereunder | PERIOD BEG! NI G 04/01/2019<br>REPORT FOR Tl-I | | -----------<br>A D ENDING 03/31/2020 | | |----------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------|-----------------------------------------------| | | l\lMll)DIYY | | MM/0D/YY | | | A. REGISTRANT IDENTIFICATION | | | | AME OF BROKER-DEALER: ABG, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PR! CIPAL PLACE OF BUSI ESS: (Do not use P.O. Box No.)<br>725 FIFTH AVENUE -<br>23RD FLOOR | | | FIRM I.D. NO. | | | (No and 1rcc1) | | | | NEW YORK | NY | | 10022 | | (Cat ) | ( tnte) | (Zip Code) | | | AME A D TELEPHO E<br>UM BER OF PERSO<br>MICHAEL T MARRONE | TO CO TACT I | REGARD TO THJS REPORT | 646-930-1906<br>(Arca Code - Telephone umber) | | | B. ACCOUNT ANT IDENTIFICATION | | | | I DEPE DE T PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | BAKER TILLY VIRCHOW KRUASE, LLP | | | | | | ( ame - 1/ ,nd1wduat, state last, first, middle 11ame) | | | | ONE PENN PLAZA, SUITE 3000 NEW YORK | | NY | 10119JAC | | (Addrc s) | (City ) | (Slate) | (Zap Cod ) | | CHECK ONE: | | | | | lv'lcertified Public Accountant<br>B<br>Public Accountant<br>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 must be s11pporred by a statement of fact and circumstances relied on as the basis/or the exemption. Sec Section 2./0. ! 7a-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 valld 0MB control number.** SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, JACKSON EISENPRESSER | , swear (or…Read the full text as markdown