Full text of BREAKWATER GROUP DISTRIBUTION SERVICES, LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: November 30, 2026 Estimated average burden hours per response .. . 12.00 SEC FILE NUMBER # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | 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 | -------------<br>01 /01 /2023 | AND ENDING | ------------<br>12/31 /2023 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------------|--------------------------------------------|--|--|--|--| | | MM/DDNYYY | | MM/DDNYYY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM:<br>Breakwater Group Distribution Services, LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Security-based swap dealer<br>X Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Major security-based swap participant | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | 350 Madison Avenue - 19th Floor<br>(No. and Street) | | | | | | | | | | | | | | | | | New York<br>(City) | NY<br>(State) | | 10017<br>(Zip Code) | | | | | | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Dmitriy Rutitskiy | 212-751-4422 | drutitskiy@dfppartners.com | | | | | | | (Name) | (Area Code -- Telephone No.) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | 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 | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public a…Read the full text as markdown