Full text of CANACCORD GENUITY LLC's X-17A-5 filed 2021-05-28 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | AND ENDING 03/31/21<br>REPORT FOR THE PERIOD BEGINNING 04/01/20 | | | | |------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|---------|------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Canaccord Genuity LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 535 Madison Avenue | | | | | | | (No. and Street) | | | | | New York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Donald D. MacFayden | | | 416-687-5426<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Ernst & Young | (Name - if individual, state last, first, middle name) | | | | | 5 Times Square | New York | NY | 10036-6530 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | | {1}------------------------------------------------ | State of Virginia | County of Norfolk | | |-------------------|---------------------------------------------------------------------------------------------------|--| | | This notarial act was performed online by way of<br>two-way audio/video communication technology. | | {2}------------------------------------------------ #### C O N S O L I D A T E D F I N A N C I A L S T A T E M E N T S AND S U P P L E M E N T A L I N F O R M A T I O N Canaccord Genuity LLC Year Ended March 31, 2021 With Report and Supplementary Report of Independent Registered Public Accounting Firm *(Confidential Pursuant to SEC Rule 17a-5(e)(3))* A statement of financial condition has been bound separately and filed with the Securities and Exchange Commission simultaneously herewith as a public document {3}------------------------------------------------ # (A fully owned subsidiary of Canaccord Genuity Group Inc. "CGGI") Consolidated Financial Statements and Supplemental Information Year Ended March 31, 2021 # **Contents** | Report of Independent Registered Public Accounting Firm1 | | |----…Read the full text as markdown