Full text of ABG, LLC's X-17A-5 filed 2022-06-29 (period 2022-03-31). 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-17 A-5 PART Ill** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | SEC FILE NUMBER 8-69577 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | ----------<br>4/01<br>20<br>AND ENDING 0313112022<br>21<br>FILING FOR THE PERIOD BEGINNING 0<br>/ | | ----------- | |---------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|-----------------------------------------|-------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: ABG, LLC | -------------------------------- | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Iii Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 725 FIFTH AVENUE - 23RD FLOOR | | | | | | (No. and Street) | | | | NEW YORK | NY | | 10022 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | MICHAEL T MARRONE | 646-930-1906 | | MICHAEL. MARRONE@ABG, | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSGNC&S CERTIFITED PUBLIC ACCOUNTANT PPL | | | | | | (Name - if individual, state last, first, and middle name) | | | | 97 FROEHLICH FARM BLVD | WOODBURY | NY | 11797 | | (Address) | (City) | (State) | (Zip Code) | | 02/23/2010 | | 5028 | | | r•• of<br>Reg;straboo w;th PCAOB)(ff appHcable) | | | (PCAOB Reg;strat;o, N"mbe,, ff applkable) | \* 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)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained** in **this form are…Read the full text as markdown