Full text of CRAIG-HALLUM CAPITAL GROUP LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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 ## ANNUAL REPORTS FORM X-17A-5 | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | # PART III | SEC FILE NUMBER | | | |-----------------|--|--| | 8-65407 | | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING\_12/31/21 FILING FOR THE PERIOD BEGINNING \_\_ 01/01/21 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Craig-Hallum Capital Group LLC TYPE OF REGISTRANT (check all applicable boxes): [] Security-based swap dealer [] Major security-based swap participant & Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 222 S. Ninth St. Suite 350 (No. and Street) 55402 MN Minneapolis (Zip Code) (State) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING Jeannie Sonstegard, CFO 651-343-4835 jeannie.sonstegard@craig-hallum.com (Email Address) (Name) (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Baker Tilly US, LLP (Name - If individual, state last, first, and middle name) 777 E Wisconsin Ave, 32 Floor Milwaukee WI 53202 (Zip Code) (Address) (State) (City) 23 10/22/03 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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)(1)(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}------------------------------------------------ #### OATH OR AFFIRMATION | , Jeannie Sonstegard | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of CRAIG-HALLUM CAPITAL GROUP…Read the full text as markdown