Full text of THINKEQUITY LLC's X-17A-5 filed 2023-03-14 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | # ANNUAL REPORTS FORM X-17A-5 PART Ill | SEC FILE NUMBER | | |-----------------|--| | 8-38622 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/2022 | | AND ENDING 12/31/2022 | |--------------------------------------------|--|-----------------------| | | | | MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: THINKEQUITY LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer 0 Security-based swap dealer 0 Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer 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 | | 10004 | | | (City) | (State) | | (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) | (State) | (Zip Code) | | October 22, 2003 606 # FOR OFFICIAL USE ONLY (PCAOB ''''""''" N pm bee, if'""" ble)l \* 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 are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMS control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, William Baquet | swear (or affirm) that, to the best of my knowledge and belief,…Read the full text as markdown