Full text of CANACCORD GENUITY LLC'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}------------------------------------------------ | | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, o.c. 20549 | | 0MB APPRO\Jill<br>OMS Number: 3235-C 123<br>Expires: Oct. 31, 2023<br>Estimated average bu den<br>hours per response: 12 | | |----------------------------------------------------------------------|-----------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--| | | | ANNUAL REPORTS | | SEC FILE NUMB~R | | | | | FORM X-17A-5 | | 8-0327' | | | | | PART Ill | | | | | I | | FACING PAGE<br>Information Requ'red Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange At:t ol 1934 | | | | | FILING FOR THE PERIOD BEGINNING 04/01 | | /22 | AND ENDING 03/31 /23 | | | | | | MM/DD/YY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATiON | | | | | NAME oF FIRM: Canaccord Genuity LLC | | | | | | | TYPE OF REGISTRAJ T (check all applicable boxes):<br>~ Broker-dealer | □ Security-based swap dealer<br>[] Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participa nt | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 535 Madison Avenue | | | | | | | New York | | (No. and Street) | | | | | | (City) | NY<br>(SMe) | | 1002:e<br>(Zip Code) | | | | | | | | | | | | | | | | | Donald o_ MacFayden 416-687-5426 | | (Area Code - Telephone Number) · | ( Email Address) | c:L~ (le ~ J e-,, <? c. ~ ~ ~ | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | 8. ACCOUNTANT IDENTIFICAT!ON | . . | | | | (Name) | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained i•1 this filing* | | | | | Ernst & Young | | | | | | | | | (Name - if individual, state last, first, and m;ddle name) | | | | | One Manhattan West<br>(Address)<br>I | | New York<br>(City) | NY<br>(State) | 10001<br>(Zip Code) | | | | | | #42 | | | | (Date of Registration witt, PCAOB)(if applicable)<br>I | | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if ap1 licable) | | CFR 240.17a-S(e)(l)(it if applicable. **Persons who are to resp nd to the collection of information contained in this form are not required to respond unless• he form displays a currently…Read the full text as markdown