Full text of CRAIG-HALLUM CAPITAL GROUP LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | URITC | | | |-----------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|---------|---------------------------------------------------------| | | BROAD OCCUPATION | | OM8 APPROVAL | | | SECURITTES AND EXCHANGE COMMISSION | | OMB Number:<br>3235-0123 | | | Washington, D.C. 20549 | | August 31, 2020<br>Explres:<br>Estimated average burden | | | ANNUAL AUDITED REPORT | | hours per response 12.00 | | | FORM X-17A-5 | | SEC FILE NUMBER | | | PART III | | 8-65407 | | | 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 01/01/2020 | | | MM/DD/YY | | | MM/DD/Y Y | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Craig-Hallum Capital Group LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | Firm I.D. No. | | 222 So. Ninth Street, Suite 350 | | | | | | (No. and Street) | | | | Minneapolis | MN | | 55402 | | (City) | (Sisto) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Jaannle Sonstegard | | | 612-334-6359 | | | | | (Area Code Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report® | | | | | Baker Tilly Virchow Krause LLP | | | | | | (Name - If individual, state last, first, middle name) | | | | 225 South Sixth Street | Minneapolis | MN | 55402 | | (Address) | {City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \*Claims for axemption from the requirement that the annual report be civing of an intependent public accountant nust to supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.170-5(e)(2) Potential 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 O {1}------------------------------------------------ # PUBLIC OATH OR AFFIRMATION #### Jeannte Sonstegard a success ... . . swear (or affirm) that, to the b…Read the full text as markdown