Full text of LAKE STREET CAPITAL MARKETS, LLC's X-17A-5/A filed 2021-05-21 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** | OM<br>B<br>AP<br>PR<br>OV<br>AL | | | | | |--------------------------------------------------------------------|-----------------------|---------------------------|--|--| | OM<br>B<br>be<br>Nu<br>r:<br>m | | 32<br>35<br>-0<br>12<br>3 | | | | Ex<br>s:<br>pi<br>re | be<br>Oc<br>to | r 3<br>1,<br>20<br>23 | | | | Es<br>ed<br>b<br>de<br>tim<br>a<br>n<br>at<br>ve<br>ra<br>ge<br>ur | | | | | | ho<br>s<br>pe<br>ur | r r<br>es<br>po<br>ns | e<br>.0<br>0<br>12 | | | | SE<br>C<br>FI<br>LE<br>N<br>UM<br>BE<br>R | |-------------------------------------------| | -6<br>9<br>1<br>0<br>1<br>8 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | T<br>E<br>EP<br>O<br>IO<br>E<br>G<br>R<br>R<br>FO<br>R<br>TH<br>PE<br>R<br>D<br>B<br>IN<br>N<br>IN<br>G | /<br>/<br>0<br>1<br>0<br>1<br>2<br>0<br>2<br>0 | 1<br>EN<br>A<br>N<br>D<br>D<br>IN<br>G | /<br>3<br>1<br>/<br>2<br>2<br>0<br>2<br>0 | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|------------------------------------------------------------------|--------------------------------------------------------------------------------|--| | | M<br>M<br>/D<br>D/<br>YY | | M<br>M<br>/D<br>D/<br>YY | | | A<br>R<br>E | G<br>IS<br>T<br>R<br>A<br>N<br>T<br>I<br>D<br>E<br>N<br>T | I<br>F<br>IC<br>A<br>T<br>I<br>O<br>N | | | | L<br>k<br>S<br>t<br>-D<br>N<br>A<br>M<br>E<br>o<br>r<br>B<br>R<br>O<br>K<br>E<br>R<br>E<br>A<br>L<br>E<br>R<br>:<br>a<br>e | C<br>i<br>l<br>M<br>rk<br>t<br>t<br>re<br>a<br>e<br>p<br>a<br>a | ,<br>L<br>L<br>C<br>t<br>e<br>s | O<br>IC<br>L<br>U<br>SE<br>O<br>Y<br>FF<br>IA<br>NL | | | SS<br>(D<br>A<br>D<br>D<br>R<br>E<br>O<br>F<br>PR<br>IN<br>C<br>IP<br>A<br>L<br>PL<br>A<br>C<br>E<br>O<br>F<br>B<br>U<br>SI<br>N<br>E<br>SS<br>:<br>o<br>t u<br>P<br>. B<br>N<br>)<br>.O<br>se<br>no<br>ox<br>o. | | 1.<br>O<br>FI<br>RM<br>0<br>. N | | | | -<br>S<br>S<br>9<br>2<br>0<br>2<br>d<br>A<br>h<br>i<br>7<br>0<br>0<br>t<br>t<br>e<br>o<br>u<br>u<br>e<br>n<br>v | | | | | | | (N<br>o.<br>d<br>St<br>et)<br>an<br>re | | | | | M…Read the full text as markdown