Full text of LAKE STREET CAPITAL MARKETS, LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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 Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART Ill SEC FILE NUMBER a-69101 OMB APPROVAL FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING O 1/01 /21 AND ENDING 12/31 /21 MM/DD/VY MM/DD/VY A. REGISTRANT IDENTIFICATION # NAME or FIRM: Lake Street Capital Markets, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer O Check here if respondent is also an OTC derivatives dealer O Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 920 2nd Ave South - Suite 700 | | (N<br>nd<br>)<br>a<br>S<br>tre<br>et<br>o. | | | | | |----------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|---------------------------------------------------------------|--|--| | M<br>i<br>l<br>i<br>e<br>a<br>n<br>o<br>s<br>n<br>p | M<br>N | | 5<br>5<br>0<br>4<br>2 | | | | (C<br>ity<br>) | (S<br>)<br>ta<br>te | | (Z<br>ip<br>Co<br>de<br>) | | | | PE<br>RS<br>O<br>N<br>TO<br>C<br>O<br>NT<br>A<br>CT<br>W<br>IT<br>RE<br>G<br>H | A<br>RD<br>T<br>O<br>TH<br>IS<br>F<br>IN<br>G<br>IL | | | | | | l<br>M<br>P<br>N<br>a<br>e<br>e<br>a<br>c<br>u<br>m | 6<br>2<br>3<br>2<br>6<br>1<br>3<br>1<br>2<br>1<br>-<br>- | ul.<br>pa<br>mc<br>na | e@<br>lak<br>m<br>tre<br>et<br>me<br>es<br>cm<br>.co | | | | (N<br>e)<br>am | ho<br>(A<br>a<br>Co<br>de<br>-<br>Te<br>lep<br>N<br>be<br>r)<br>re<br>ne<br>um | (E<br>ai<br>l A<br>dd<br>m | )<br>re<br>ss | | | | | | O<br>N<br>TI | | | | | IN<br>D<br>EP<br>EN<br>D<br>EN<br>T<br>PU<br>BL<br>IC<br>A<br>CC<br>O<br>UN | CC<br>O<br>N<br>N<br>ID<br>EN<br>CA<br>B.<br>A<br>U<br>TA<br>T<br>TI<br>FI<br>ho<br>TA<br>NT<br>nt<br>ai<br>w<br>r<br>ort<br>s<br>e<br>ar<br>ep<br>co<br>ne<br>se | d<br>hi<br>fi<br>lin<br>g*<br>in<br>t<br>s | | | | | ,<br>L<br>L<br>B<br>k<br>T<br>i<br>l<br>l<br>U<br>S<br>r<br>a<br>e<br>y | P<br>e<br>-<br>if<br>ind<br>ivi<br>du<br>st<br>e<br>las<br>fir<br>nd<br>m<br>at<br>st<br>am | idd<br>le<br>na<br>m | | | | | (N<br>E<br>W…Read the full text as markdown