Full text of THINKEQUITY LLC's X-17A-5 filed 2024-02-26 (period 2023-12-31). 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 respon se: 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):<br>0 Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | 0 Security-based swap dealer | | | 0 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 | | | 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 | | | | rte of<br>Regi<tcotioo with PCAOB)(if opplicoble: | | | | {PCAOB Regi<tcotioo Nombec, if opplicoble)l | | | 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-5(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 OMB control number. {1}-------…Read the full text as markdown