Full text of ETFMG FINANCIAL LLC's X-17A-5 filed 2019-03-15 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM December 31, 2018 {1}------------------------------------------------ ### **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden Hours per response .. . . . 12.00 8- **69792** SEC FILE NUMBER | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17 A-5 | | PART Ill | # **FACING PAGE** **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 | ----------<br>01/01/2018<br>MM/DD/YY | AND ENDING | 12/31/2018<br>MM/DD/YY | | | | | |--------------------------------------------------------------------------|--------------------------------------|--------------------------------|------------------------|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | | | | ETFMG Financial LLC | | | FIRM I.D. NO. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | 30 Maple Street, #2 | | | | | | | | | | ( o. and Street) | | | | | | | | Summit | NJ | | 07901 | | | | | | (City) | (State) | | (Zip Code) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | Sam Masucci | | 908-897-0510 | | | | | | | | | (Area Code - Telephone Number) | | | | | | | | B. ACCOUNT ANT IDENTIFCA TION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | WithumSmith+Brown, PC | | | | | | | | | (Name - if individual, stare last, first, middle name) | | | | | | | | | 506 Carnegie Center, Suite 400 | Princeton | NJ | 08540 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | CHECKO E: | | | | | | | | | ~ Certified Public Accountant | | | | | | | | | D<br>Public Accountant | | | | | | | | | D<br>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).* > **Potential persons who are to respond to the c…Read the full text as markdown