Full text of BREAKWATER GROUP DISTRIBUTION SERVICES, LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Breakwater Group Distribution Services, LLC (a limited liability company) Statement of Financial Condition Pursuant to Rule 17a-5 und~r the Securities Exchange Act of 1934 December 31, 2020 Filed as Public infonnalion pursuant lo Rule 17a-S(d) under the Securities Exchange Act of 1934 {1}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 | | UMB APPRUVAL | | |--------------------------|--------------|---------------------------| | OMB Number: | | 3235-0123 | | | | Expires: October 31, 2023 | | Estimated average burden | | | | | | hours per response 12.00 | SEC FILE NUMBER 692698 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III # 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 | 01/01/2020 | AND ENDING | 12/31/2020 | | |-------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. RECISTRANT IDENTIFICATION | | | | | Breakwater Group Distribution Services, LLC OFFICIAL USE ONLY<br>NAME OF BROKER-DEALER: | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 350 Madison Avenue - 19 Floor | | | | | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Richard Sobel | | | 212-751-4422 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | RSM US LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 1185 Avenue of the Americas | New York | NY | 10036 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | 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 supported by a statement of facts and circumstances relied on…Read the full text as markdown