Full text of BREAKWATER GROUP DISTRIBUTION SERVICES, LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). 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 | | UMB APPROVAL | |---------------------------|-----------------| | OMB Number: | 3235-0123 | | Expires: October 31, 2023 | | | Estimated average burden | | | nours per response 12.00 | | | | SEC FILE NUMBER | | | | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8 - 69269 | | | # FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | REPORT FOR THE PERIOD BEGINNING | 01/01/2022 | AND ENDING | 12/31/2022 | |--------------------------------------------------------------------------------------|------------------------------------------------------------------------|-----------------|-----------------------------------------------------| | | MM/DD/YYYYY | | MM/DD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Breakwater Group Distribution Services, LLC | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | X Broker-dealer □ Security-based swap dealer □ Major security-based swap participant | | | | | C 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) | (State) | | (Zip Code) | | | | | | | | | | | | | 212-751-4422 | | | | | (Area Code -- Telephone No.) | (Email Address) | rsobel@dfppartners.com | | | B. ACCOUNTANT IDENTIFICATION | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Richard Sobel<br>(Name) | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | RSM US LLP | | | | 4 Times Square 151 West 42nd Street | (Name - if individual, state last, first. and middle name)<br>New York | | | | (Address) | (City) | NY<br>(State) | (Zip Code) | | 9/24/2003 | | | 49 | | (Date of Registration with PCAOB)(if applicable) | | | 10036<br>(PCAOB Registration Number, if applicable) | \*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 circuired on as the boss 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 form are not required to respond unless the form displays…Read the full text as markdown