Full text of ETFMG FINANCIAL LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ | UNITED STATES | | | | | | |------------------------------------|--|--|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | | | | | | | Washington, D.C, 20549 | | | | | | # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | OM B Number: 3235-0123 | | |--------------------------|--| | EKp]res: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMBER | | 8-69792 **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 | ___<br>__<br>O_l/_0_1/_2_1 | AND ENDING __ | ___<br>_<br>1_21_3_1/_2_1 | |---------------------------------------------------------------------------|------------------------------------------------------------|----------------|-----------------------------------------| | | MM/DD/VY | | MM/DD('(V | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: __ E_TFM __ | G_F_in_an_c_ial_L_L_C | | _________________ | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | ~ Broker-dealer | D Security-based swap dealer | | □ Major security-based swap participant | | □ Check here If respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 30 Maple Street, #2 | | | | | | (No. and Street) | | | | Summit | NJ | | 07901 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Sam Masucci | 908-897-0510 | sam@etfing.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained In this filing* | | | | | | | | | | WithumSmith+Brown, PC | | | | | | (Name - If Individual, state last, first, and mlddle name) | | | | 506 Carnegie Center, Suite 400 | Princeton | | NJ<br>08540 | | (Address) | (City) | | (State)<br>(Zip Code) | | | | | | | T" "'''""""" | PCAOB)IW """'"'' FOR OFFICIAL USE ONLY | | | | | | | | • Clalms for exemption from the requirementthatthe 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-5(e)(l)(il), If applicable. Persons who are to…Read the full text as markdown