Full text of CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.'s X-17A-5 filed 2024-05-31 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20S49 | | | OMBAPPROVAL | | |---------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|-----------------|-----------------------------------------|------------| | ANNUAL REPORTS FORM X-17A-5 PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | a-21025 | | FILING FOR THE PERIOD BEGINNING 04/01/23<br>MM/DD/YY | | | AND ENDING 03/31 /24<br>MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | NAME OF FIRM: Canaccord Genuity Wealth Management (USA) Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!l Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>2200 - 609 Granville Street<br>(No. and Street) | | | | | | Vancouver<br>BC<br>V7Y 1H2 | | | | | | (City)<br>(State)<br>(Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Donald D. MacFayden | 416-687-5426dmacfayden@cgf.com | | | | | (Name)<br>(Area Code-Telephone Number} | | [Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young<br>{Name- if individual, state last, first, and middle name) | | | | | | 1133 Melville Street<br>(Address)<br>(City)<br>(State) | Vancouver<br>BC | V6E4E5 | | [Zip Code) | | 1263 | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant **FOR OFFICIAL USE ONLY** must be supported by a statement of facts and circumstances relied on as the basis of the 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 for m displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** **1°"... ,.. ..., --...** I, Donald D. Macfayden swear (or affirm) that, to the best of my knowledge and belief, the **financial report pertaining to the firm of Canaccord Genuity…Read the full text as markdown