Full text of AUERBACH GRAYSON & COMPANY LLC's X-17A-5 filed 2024-04-15 (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** > **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER # **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** MM/DD/YY AND ENDING **12/31/2023** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Auerbach Grayson and Company LLC TYPE OF REGISTRANT (check all applicable boxes}: [!] Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} 20W 55th Street (No. and Street) New York **NY** 10019 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING David S Grayson 212-453-3553 david@agco.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WithumSmith & Brown, PC (Name - if individual, state last, first, and middle name) 1411 Broadway , 9th Floor New York NY 10018 (Address) (City) (State) (Zip Code) 10/08/2003 100 l" of Reg;w,1100 w;th PCAOBl(lf applkableJ **FOR OFFICIAL USE ONLY (PCAOB Reglstr.,t;oo Numbec,** If **applkable)I** \* 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 ofthe exemption. See 17 CFR 240.17a-S(e)(l)(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 a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Davids Grayson | | | | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------------------------------------------------|-----------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|------------------------------------…Read the full text as markdown