Full text of ETFMG FINANCIAL LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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, 2019 {1}------------------------------------------------ **UNITED ST A TES 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-17A-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 | 01/01/2019 | AND ENDING | 12/31/2019 | |----------------------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------------------|-------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | ETFMG Financial LLC | | | FIRM 1.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 30 Maple Street, #2 | | | | | | (No. and Street) | | | | Summit | NJ | | 07901 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Sam Masucci | | | 908-897-0510 | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFCATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | WithumSmith+Brown, PC | | | | | (Name - ifi11divid11al, state last,jirst, middle 11a111e) | | | | | 506 Carnegie Center, Suite 400 | Princeton | NJ | 08540 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>~ Certified Public Accountant<br>D<br>Public Accountant<br>D | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims for exemption.fi'om the requirement that the annual report be covered by the opinion ofan independent public accountant must be supported by a statement of/acts and circumstances relied on as the basisfor the exemption. See Section 240. l 7a-5(e)(2).* > **Potential 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 0MB control number.** CONFIDENTIAL TREATMENT REQUESTED SEC 1410 (06-02) {2}------------------------------------------------ ### **OATH OR AFFI…Read the full text as markdown