Full text of THINKEQUITY LLC's X-17A-5/A filed 2022-08-17 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | FINRA.org (http://www.finra.org) | My Account (https://ews.finra.org/myews/myews.jsp)<br>Feedback<br>Support (/firm-gateway/support/info.html)<br>Log Out | |-------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------| | (https://firms.finra.org/rds/rest/users/logout) | 7<br><br><br><br>Richard Adams<br>FORDHAM FINANCIAL MANAGEMENT, INC. (20996) | | Firm<br>Gateway | | | Home ()<br>Compliance Calendar () | Forms & Filings ()<br>Web CRD ()<br>Report Center ()<br>OATS ()<br>Firm Profile ()<br>E-Bill ()<br>Information Requests () | | User Administration () | | | << Back to Forms & Filings | | | Annual Audit | Your form was submitted to FINRA successfully. Please print this form now if you wish to retain a copy for your<br>records. | | Filings History | Filing ID: 5047705 (Please retain this number for further inquiries regarding this form) | | | Submitted By: radams123 | | Related Links | Submitted Date: Tue Mar 30 13:28:10 EDT 2021 | | Annual Audit Overview | | | Regulatory Notice 11-46 | All fields marked with * are mandatory. | | | Annual Audit Notice Information: | Broker-dealers are reminded that effective for fiscal years ending on or after June 1, 2014, the Annual Reports must include either: (1) an exemption report and a report prepared by an independent public accountant based on a review of the statements in the exemption report if the broker-dealer claimed that it was exempt from Rule 15c3-3 under the Securities Exchange Act of 1934 throughout the most recent fiscal year; or (2) a compliance report and a report prepared by an independent public accountant based on an examination of certain statements in the compliance report if the broker-dealer did not claim that it was exempt from Rule 15c3-3 throughout the most recent fiscal year. . **For more information on these requirements, see SEC Release No. 34-70073 available at** http://www.sec.gov/rules/final/2013/34-70073.pdf ## **Annual Audit Filing Guidelines (effective February 2016):** Pursuant to SEA Rule 17a-5(d)(6), a broker-dealer required to prepare an annual audit report must file the report at the regional office of the Commission, the Commission's principal office in Washington, DC, the principal office of its designated examining authority, and with the Securities Investor Protection Corporation ("SIPC") if the broker or…Read the full text as markdown