Full text of LAKE STREET CAPITAL MARKETS, LLC's X-17A-5 filed 2023-03-21 (period 2022-12-31). 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 ANNUAL REPORTS FORM X-17A-5 PART Ill OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER a-69101 FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01 /01 /22 MM/DD/YY AND ENDING 12/31 /22 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME or FIRM: Lake Street Capital Markets, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer O 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 (No. and Street) Minneapolis (City) MN (State) 55402 (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Paul McNamee (Name) 612-326-1312 (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION paul.mcnamee@lakestreetcm.com (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Baker Tilly US, LLP (Name - if individual, state last, first, and middle name) 777 E Wisconsin Ave, 32nd Floor Milwaukee WI 53202 (Address) October 22, 2003 (City) 23 (State) (Zip Code) FOR OFFICIAL USE ONLY (PCAOB Registration Number, if applicable] I • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION | Th<br>C<br>. C<br>ull<br>J<br>I<br>,<br>r.<br>om<br>as<br>um | he<br>d<br>, s<br>r<br>(o<br>r<br>af<br>fir<br>)<br>th<br>,<br>t<br>b<br>t<br>of<br>m<br>y<br>kn<br>le<br>a<br>nd<br>b<br>el<br>ie<br>f<br>,<br>th<br>e<br>at<br>to<br>ow<br>es<br>ge<br>w<br>ea<br>m | |-------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown