Full text of SAGEPOINT FINANCIAL, INC.'s X-17A-5/A filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | | OMB APPROVAL<br>OMB Number: 3235-0123 | | | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|-----------------------------------------|------------------------------------------------------------------------------|--------------------------------------------|--| | Washington, D.C. 20549 | | | | Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17A-5 | | 8-66771 | | | | | | PART III | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | filing for the period beginning 01/01/2022 | | | AND ENDING 12/31/2022 | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: SagePoint Financial, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | _ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 20 E. Thomas Road, Suite 2000 | | | | | | | | | | (No. and Street) | | | | | | Phoenix | | Arizona | | | 85012 | | | (City) | | (State) | | | (Zip Code) | | | ERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | David Schmidt | (602) 262-3301 | | | David.Schmidt@advisorgroup.com | | | | Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Deloitte & Touche LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 100 South Mill Avenue, Suite 1800 Tempe | | | | | Arizona 85281 | | | Address) | (City) | | (State) | | (Zip Code) | | | October 20, 2003 | | | 34 | | | | | Date of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | | | | | | | | | | Claims for avamation from the renuirament that the annual reports of an indepartent of an indepartant public | | | | | | | {1}------------------------------------------------ | David Sch…Read the full text as markdown