Full text of GEORGE K. BAUM & COMPANY's X-17A-5/A filed 2020-01-02 (period 2019-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGECOM.\IISSIO~ Washington, D.C. 20549 | 0MB APPROVAL | | |--------------------------|---------------------------| | 0MB Number: | 3235-0123 | | Expires: | August 31, 2020 | | Estimated average burden | | | | hours per response 12.00 | | | | ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-47195 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Excha nge Act of 1934 a nd Rule I 7a-5 T her eunder | REPORT FOR TIIE PERIOD 13EGJNNING 11/01 | | /\ND ENDING 10/31/2019 | | | |-----------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|------------------------|--------------------------------|--| | -<br>- | --<br>-----<br>/2018<br>-<br>-<br>~ 1 M DD YY | | M~I DD Y\' | | | | A. REGISTRANT IDENTIFICATrON | | | | | 'AME or BROKER-DEALER: George K. Baum & Company<br>ADDRESS OF PRJNCJPAL PLACE OF BUSIN ESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | FIRM 1.0. NO. | | | Plaza Colonnade, 4801 Main Street, Suite 500 | | | | | | | (No. ~nd Street) | | | | | Kansas City | Missouri | 64112 | | | | (City) | (Slate) | (Zip Code) | | | | /\ME AND TELEPHO E | UMBER OF PERSON TO CONTACT IN REGARD TO TIIIS REPORT | | | | | Dana L Bjornson. EVP & Chief Finaooal Officer | | 816-474-1100 | | | | | | | (Arca Code - Telephone Numherl | | | INDEPEN DENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>BKD, LLP | | | | | | | (Name 1/ mdindual, slate las,. fir>/, 1111ddle name) | | | | | 1201 Walnut Street, Suite 1700 Kansas City | | Missouri | 64106 | | | (Addr.:s,) | (Ci1y) | (St~ie) | (l,p Cod~> | | | CH ECK ONE: | | | | | | a<br>!/"!Certified Public Accountant<br>Public Accountan1 | | | | | | /\ccounrnnt not n::sidenl in United States or 1rny or its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Clnims for exe111ptio11.fro111 the require111e1111ha1 the ,111111101 report be covered by the opinion of 011 i11depe11de111 public acco1111111111 11111s1 be supported by a state111e111 offac/s and circ11111sta11ces relied 011 as 1he bas1sfar 1he exemption. See Sec1io11140.l 7a-5(eJ(!J* > Potentlal 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…Read the full text as markdown