Full text of GREAT POINT CAPITAL LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **STATEMENT OF FINANCIAL CONDITION AND SUPPLEMENTAL SCHEDULES PURSUANT TO SEC RULE 17a-5(d)** **December 31, 2020 AVAILABLE FOR PUBLIC INSPECTION** {1}------------------------------------------------ | | None | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------| | | Signature | | | President<br>Title | | Subscribed and sworn to before me this | | | day of | | | Notary Public<br>2/26/202 | OFFICIAL SEAL<br>MICHAEL OLSON<br>Notary Public - State of Illinois<br>My Commission Expires 8/21/2021 | | This report* contains (check all applicable boxes)<br>x] (a) Facing Page.<br>x] (b) Statement of Financial Condition.<br>] (c) Statement of Income (Loss).<br>] (d) Statement of Cash Flows.<br>] (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietor's Capital.<br>] (f) Statement of Changes in Liabilities Subordinated to Claims of General Creditors.<br>k) (g) Computation of Net Capital for Brokers and Dealers pursuant to Rule 15c3-1.<br>k] (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3.<br>Rule 15c3-3. | k] (1) Information Relating to the Possession or Control Requirements for Brokers and Dealers Und | - - - - - - - {2}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **OMB APPROVAL OMB Number: 3235-0123** Expires: October 31, 2023 Estimated average burden hours per response ..........12.00 **SEC FILE NUMBER** **8-53402** **ANNUAL AUDITED REPORT FORM X-17A-5 PART lll** **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** REPORT FOR THE PERIOD BEGINNING **01/01/20** AND ENDING **12/31/20 MM/DD/YY MM/DD/YY** # **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: **GREAT POI…Read the full text as markdown