Full text of LAKE STREET CAPITAL MARKETS, LLC's X-17A-5/A filed 2021-03-26 (period 2020-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** SEC FILE NUMBER 8-69101 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | 0<br>E<br>R<br>EP<br>O<br>T<br>FO<br>R<br>T<br>H<br>PE<br>R<br>IO<br>D<br>B<br>EG<br>IN<br>N<br>IN<br>G<br>R | 1<br>/<br>0<br>1<br>/<br>2<br>0<br>2<br>0 | 1<br>2<br>/<br>A<br>N<br>D<br>E<br>N<br>D<br>IN<br>G | /<br>3<br>1<br>2<br>0<br>2<br>0 | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------|-------------------------------------------------------------|---------------------------------------------------------------------------------|--|--| | | /D<br>D/<br>YY<br>M<br>M | �<br>� | �<br>�<br>�<br>�<br>-<br>�<br>�<br>�<br>�<br>/D<br>D/<br>M<br>M<br>YY | | | | A<br>R<br>E | G<br>IS<br>T<br>R<br>A<br>N<br>T<br>E<br>N<br>T<br>I<br>F<br>I<br>D | IC<br>T<br>I<br>O<br>N<br>A | | | | | L<br>k<br>S<br>t<br>A<br>M<br>E<br>o<br>r<br>B<br>R<br>O<br>K<br>E<br>R<br>-D<br>EA<br>L<br>E<br>R<br>:<br>a<br>e<br>N | l<br>M<br>rk<br>C<br>i<br>t<br>t<br>t<br>s<br>re<br>e<br>a<br>p<br>a<br>a<br>e | ,<br>L<br>L<br>C | O<br>O<br>FF<br>IC<br>IA<br>L<br>US<br>E<br>N<br>LY | | | | R<br>E<br>SS<br>O<br>F<br>PR<br>IN<br>C<br>IP<br>L<br>PL<br>A<br>C<br>E<br>F<br>B<br>U<br>SI<br>N<br>E<br>SS<br>:<br>(D<br>o<br>t u<br>P<br>.O<br>. B<br>N<br>A<br>D<br>D<br>A<br>O<br>no<br>se<br>ox<br>o. | | ) | O<br>FI<br>R<br>M<br>I.<br>D<br>. N | | | | -<br>9<br>0<br>d<br>A<br>S<br>h<br>S<br>i<br>7<br>0<br>0<br>2<br>2<br>t<br>t<br>n<br>v<br>e<br>o<br>u<br>u<br>e | | | | | | | | d<br>(N<br>o.<br>St<br>et)<br>an<br>re | | | | | | M<br>i<br>l<br>i<br>s<br>nn<br>e<br>a<br>p<br>o | M<br>N | 5 | 5<br>4<br>0<br>2 | | | | (C<br>ity<br>) | (S<br>e)<br>tat | (Z | ip<br>Co<br>de<br>) | | | | N<br>A<br>E<br>N<br>T<br>E<br>LE<br>PH<br>O<br>N<br>E<br>N<br>U<br>B<br>ER<br>O<br>F<br>PE<br>M<br>A<br>D<br>M<br>Pa<br>ul<br>Mc<br>Na<br>e -<br>61<br>32<br>6-<br>13<br>12<br>2-<br>me | R<br>SO<br>N<br>T<br>O<br>C<br>O<br>N<br>C<br>T<br>IN<br>T<…Read the full text as markdown