Full text of THINKEQUITY LLC's X-17A-5 filed 2022-08-16 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | 0MB APPROVI\L | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|----------|-----------------------------------------|--|--| | SECURITIES AND EXCHANGE COMMISSION | 0 M B Number: 3235-01 23<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | | | | | | | | | | | | SEC FI LE NUMBER | | | | | | | FORM X-17A-5<br>PART Ill | | 8-38622 | | | | | | | | | | | | 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 O 1/01/2021 | MM/DD/VY | | AND ENDING 12/31/2021<br>MM/DD/VY | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: THINKEQUITY, LLC. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C!l Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 17 STATE STREET, 41ST FLOOR | | | | | | | | (No. and Street) | | | | | | NEW YORK | | NY | | | | | (City) | (State) | | 10005<br>(Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | RICHARD ADAMS | (646) 467-5487 | | radams@think-equity.com | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Grassi Advisors & Accountants | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 750 Third Avenue | NEW YORK | NY | 10017 | | | | (Address) | (City) | (St ate) | (Zip Co de) | | | | October 22 2003 | | 606 | | | | | r<br>te of Registcatioa with PCAOB)lit applicable) | | {!'CAOB | """""°"<br>Nombec, if applicab~J | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | • 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 of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who…Read the full text as markdown