Full text of SAGEPOINT FINANCIAL, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED** ST **A TES** SECURITIES **AND EXCHANGE COMMISSION** Washington, D.C. 20549 **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill FACING PAGE** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER B-66771 **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 BEGINNING01/01 /2020 MM/DD/YY AND ENDING **12/31/2020** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: SagePoint Financial, Inc. ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 20 E. Thomas Road, Suite 2000 Phoenix (City) (No. and Street) Arizona (State) OFFICIAL USE ONLY FIRM I.D. NO. 85012 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT David Schmidt (602) 262-3301 **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* Deloitte & T ouche LLP (Name - *ifi11dividual, state last, first, middle 11ame)* 2901 N. Central Ave Suite 1200 Phoenix (Address) (City) **CHECK ONE:** lv"l certified Public Accountant DPublic Accountant D Accountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY** (Area Code - Telephone Number) AZ 85012 (State) (Zip Code) *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-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 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | I, _D_a_v_id_S_c_h_m_id_t ________________________ , swear (or affirm) that, to the best of | |---------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | _c SagePoint ______<br>Financial, __________<br>Inc. | my knowledge and belief…Read the full text as markdown