Full text of BREAKWATER GROUP DISTRIBUTION SERVICES, LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). 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 | OMB APPROVAL | | | |---------------------------|--|-----------------| | OMB Number: | | 3235-0123 | | Expires: October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | | | | | ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | SEC FILE NUMBER | |-----------|-----------------| | 8 - 69269 | | # FACING PAGE I nformation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | |--------------------------------------------------------------------------------------|-----------------------------------------------------------|---------------------------------------------|--------------------------------------------|--| | | MM/DD/YYYY | | MM/DD/YYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | | Breakwater Group Distribution Services, LLC | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | X Broker-dealer O Security-based swap dealer O Major security-based swap participant | | | | | | Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 350 Madison Avenue - 19th Floor | | | | | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (সপ্প্লাব) | | (Zip Code) | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Richard Sobe | 212-751-4422 | | rsobel@dfppartners.com | | | (Name) | (Area Code - Telephone No.) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" | | i | | | | | RSM US LLP | | | | | | (Name- if individual, state last, first, and middle name) | | | | | 4 Times Square 151 West 42nd Street | New York | NY | 10036 | | | (Address) | (City) | (State) | (Zip Code) | | | 9/24/2003 | | | 49 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | 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){1){ii), if applicable. Persons who are to respond to the collection of information contained in this f…Read the full text as markdown