Full text of ABG, LLC's X-17A-5 filed 2021-05-28 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STA TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB Number: | | 3235-0123 | | | | |---------------------------|--|------------------|--|--|--| | Expires: | | October 31, 2023 | | | | | Estimated average burden | | | | | | | hours per response 12.00 | | | | | | | | | | | | | 8-69577 SEC FILE NUMBER 0MB APPROVAL **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 04/01/2020 | | | ----------<br>AND ENDING 03/31/2021<br>-<br>MM/00/YY | | | |----------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|------------------------------------------------------|--|--| | | MM/00/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: ABG, LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 725 FIFTH AVENUE -<br>23RD FLOOR | | | | | | | | (No . and Street) | | | | | | NEW YORK | NY | | 10022 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>MICHAEL T MARRONE | | | 646-930-1906 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | RSGNC&S CERTIFITED PUBLIC ACCOUNTANT PPL | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 97 FROEHLICH FARM BLVD | WOODBURY | NY | | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | [ II ]certified Public Accountant | | | | | | | Publ ic Accountant | | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption fi·om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 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…Read the full text as markdown