Full text of ETFMG FINANCIAL LLC's X-17A-5 filed 2023-03-29 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE** 0MB APPROVAL 0MB Number; 3235-0123 Expires; Oct. 31, 2023 Estimated average burden hours per response; 12 SEC FILE NUMBER 8-69792 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_ 0l\_/\_0l\_/2\_2 \_\_\_\_ AND ENDING 12/31/22 • MM/DD/YY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: ETFMG Financial LLC -------------------------------- TYPE OF REGISTRANT (check all applicable boxes): IXl Broker-dealer D Security-based swap dealer D 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 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 07901 (Zip Code) Sam Masucci 908-897-0510 sam@etfmg.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 middle name) 506 Carnegie Center, Suite 400 Princeton NJ {Address) {City) (State) 08540 (Zip Code) rte of Reglstratlo, with PCAOB)Of appllca~,, **FOR** OFFICIAL USE ONLY (PCAOB R,glstratlo, ""mbec, ;r appll<able) 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 appl!cable. • 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. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | __________________ __,<br>Sam Masucci<br>I<br>, | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|…Read the full text as markdown