Full text of WEALTHFRONT BROKERAGE LLC's X-17A-5 filed 2020-09-29 (period 2020-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Wealthfront Brokerage LLC** ## **Statement of Financial Condition** ## **For the year ended July 31, 2020** With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ ## **UNITED STATES** OMB APPROVAL **SECURITIES AND EXCHANGE COMMISSION** OMB Number: 3235-0123 **Washington, D.C. 20549** Expires: August 31, 2020 # **ANNUAL AUDITED REPORT** hours per response 12.00 # **FORM X-17A-5 PART III** SEC FILE NUMBER **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 **08/01/19** AND ENDING **07/31/20** mm/dd/yy mm/dd/yy ## **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: **Wealthfront Brokerage LLC** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) #### **261 Hamilton Ave** | Palo Alto | California | 94301 | |-----------|------------|------------| | (City) | (State) | (Zip Code) | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT **Jamie Coffey** (**402) 770-5830** (Area Code – Telephone Number) ## **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* #### **Ernst & Young LLP** | (Name – if individual, state last, first, middle name) | | | | | |--------------------------------------------------------|---------------|------------|------------|--| | 560 Mission St. Suite 1600 | San Francisco | California | 94105 | | | (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 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 240.17a-5(e)(2).* Estimated average burden **FACING PAGE 8-68534** OFFICIAL USE ONLY \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ FIRM I.D. NO. (No. and Street) {2}------------------------------------------------ #### Potential persons who are to respond to the collection of information contained in this form are not required to respond SEC 1410 (06-02) unless the form displays a currently valid OMB control number. OATH OR AFFIRMATION I, Jamie Coffey, affirm that, to the best of my knowledge and beli…Read the full text as markdown