Full text of ETFMG FINANCIAL LLC's X-17A-5 filed 2021-03-30 (period 2020-12-31). 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, 2020** {1}------------------------------------------------ #### **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | |---------------------------|------------------|--|--| | 0MB Number: | 3235-0123 | | | | Expires: | October 31, 2023 | | | | Estimated average burden | | | | | Hours per response 12.00 | | | | | | | | | 8- 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 | ----------<br>01/01/2020<br>MM/DD /Y Y | AND ENDING | -----------<br>12/31/2020<br>MM/DD/YY | | | | | | |--------------------------------------------------------------------------|----------------------------------------|------------|---------------------------------------|--|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | | | | | ETFMG Finandal LLC | | | FIRM I.D. NO. | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | 30 Maple Street, #2 | | | | | | | | | | | (No. and Street) | | | | | | | | | Summit | 07901<br>N.J | | | | | | | | | (City) | (State)<br>(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. ACCOUNTANT IDENTIFCATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | WithumSmith+Brown. PC | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | | | | 506 CarneJ!,ie Centc-r, Suite 400 | Princeton | N.J | 08540 | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | CHECK ONE: | | | | | | | | | | [gj<br>Ce1tified 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 state…Read the full text as markdown