Full text of GILMARTIN FINANCIAL LLC's X-17A-5 filed 2023-03-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # GILMARTIN FINANCIAL LLC (SEC ID No. 8-70713) # ANNUAL AUDIT REPORT ## DECEMBER 31, 2022 Public Document Filed Pursuant to Rule l 7-A-5(e)(3) as a Public Document {1}------------------------------------------------ PU **IC** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FI LE NUMBER | | |------------------|--| | 8-70713 | | **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** 5/1/2022 12/31/2022 FILING FOR THE PERIOD BEGINNING \_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_\_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Gilmartin Financial TYPE OF REGISTRANT (check all applicable boxes): ii Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 60 E Sir Francis Drake Blvd Ste 208 Larkspur (City) (No. and Street) CA (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 94939 (Zip Code) David Brant (402) 215-1352 david.brant@acaglobal.com (Name) (Area Code - Telephone Number) (Email Address) **8. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst Wintter & Associates LLP (Name - if individua l, state last, first, and middle name) 675 Ygnacio Valley Road, Suite A200 Walnut Creek CA (Address) 02/24/2009 (City) (State) 3438 94596 (Zip Code) **FOR OFFICIAL USE ONLY** {PCAOB Reg;ma,;oo N,mbec, **;f** appHcable) 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)(il), if applicable. **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}------------------------------------------------ # **PUBLIC** #### **OATH OR AFFIRMATION** | 1 | Lynn Lewis | |---|------------| | | | I, Lynn Lewis • swear (or affirm) that, to the best of my knowledge and be…Read the full text as markdown