Full text of CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.'s X-17A-5 filed 2023-05-31 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | 12<br>hours per response: | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------|---------------------|--------------------------------------------|--| | filing for the period beginning 04/01/22 | | AND ENDING 03/31/23 | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Canaccord Genuity Wealth Management (USA) Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | C Security-based swap dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 2200 - 609 Granville Street | | | | | | | (No. and Street) | | | | | Vancouver | BC | | V7Y 1H2 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | dmactayden @<br>Donald D. MacFayden 416-687-5426 | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 1133 Melville Street | Vancouver | BC | V6E 4F5 | | | (Address) | (City) | (State)<br>#1263 | (Zip Code) | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | * Claims for exemption from the requirement that the annual reports of an independent public | FOR OFFICIAL USE ONLY | | | | {1}------------------------------------------------ | St<br>of<br>V<br>irg<br>in<br>ia<br>at<br>e | | | |---------------------------------------------|--|--| - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ Financial Statements and Supplemental Information [Expressed in U.S. dollars] # **Canaccord Genuity Wealth Management (USA) Inc.** March 31, 2023 With Report of Independent Registered Public Accounting Firm [Confidential Pursuant to Rule 17a-5(e)(3)] {3}------------------------------------------------ # **Rep…Read the full text as markdown