Full text of THINKEQUITY LLC's X-17A-5 filed 2025-03-06 (period 2024-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 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 **01/01/24** AND ENDING **12/3 1 /24** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: THINKEQUITY LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ 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 | | | | | | ALAN KRIM | 516-526-1586 | akrim@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) | | | |-----------------------------------------------|------------------------------------------------------------|---------|------------------------------------------------| | 360 MADISON AVE., 7TH FLOOR NEW YORK | | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | October 22, 2003 | | 606 | | | l"<br>of Reg;matloo w;th PCAOB)l;f applkable) | | | I<br>)PCAOB Reg;strat;oo N,mbec, ;f apphcable) | | | 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 are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}--------------------------------------…Read the full text as markdown