# GOLDEN GATE GLOBAL FINANCIAL, LLC X-17A-5 (2025-09-22) — Broker-dealer annual report - Company: GOLDEN GATE GLOBAL FINANCIAL, LLC - Form: X-17A-5 - Filed: 2025-09-22 - Period: 2025-06-30 - Accession: 0001916025-25-000003 - CIK: 1916025 - File #: 8-70903 - Type: Broker-dealer - Material weakness: No - Auditor: Phillip V. George, PLLC - Auditor location: Celeste, TX - Contact: Susan Hayes - Phone: 609-642-6593 - Email: shayes@pattentraining.com - Website: pattentraining.com - Signed by: Susan Hayes (Chief Financial Officer & FinOp) Original filing: https://www.sec.gov/Archives/edgar/data/1916025/000191602525000003/3gfinancial2025audit1.pdf --- {0}------------------------------------------------ U NI T E D S T A T E S S E C U RI TI E S A N D E X C H A N G E C O M MI S SI O N W as hi n gt o n, D. C. 2 0 5 4 9 O M B A P P R O V AL O M B Nu m b er: 3 2 3 5- 0 1 2 3 Ex pir es: N o v . , 2 0 2 6 Esti m at e d av er a g e bur d e n h o urs p er res p o ns e: 1 2 # A N N U AL R E P O R T S F O R M X 1 7 A - 5 P A R T III S E C FIL E N U M B E R 8-70903 | I
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_ | |----------------------------------------------------------------------------------|-------------------------------------------|------------------------------------------------|-----------------------------------------------------|--------| | | | | | | Titl e: \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ Chief Financial Officer/FinOp #### T his fili n g \* \* co nt ai ns (c h ec k all a p plic a bl e bo x es): - a) St at e m e nt of fi n a nci al c o n diti o n. - b) N ot es t o c o ns oli d at e d st at e m e nt of fi n a nci al c o n diti o n. - (c) St at e m e nt of i nc o m e (l oss) or, if t h er e is ot h er c o m pr e h e nsi v e i nc o m e i n t h e p eri o d(s) pr es e nt e d, a st at e m e nt of c o m pr e h e nsi v e i nc o m e ( as d efi n e d i n § 2 1 0. 1 0 2 of R e g ul ati o n S X) - ( d) St at e m e nt of c as h fl o ws. - ( e) St at e m e nt of c h a n g es i n st oc k h ol d ers' or p art n ers' or s ol e pr o pri et or's e q uit y. - (f) St at e m e nt of c h a n g es i n li a biliti es s u b or di n at e d t o cl ai ms of cr e dit ors. - ( g) N ot es t o c o ns oli d at e d fi n a nci al st at e m e nts. - h) C o m p ut ati o n of n et c a pit al u n d er 1 7 C F R 2 4 0. 1 5c 3 1 or 1 7 C F R 2 4 0. 1 8 a 1, as a p plic a bl e. - (i) C o m p ut ati o n of t a n gi bl e n et w ort h u n d er 1 7 C F R 2 4 0. 1 8 a 2. - (j) C o m p ut ati o n f or d et er mi n ati o n of c ust o m er r es er v e r e q uir e m e nts p urs u a nt t o Ex hi bit A t o 1 7 C F R 2 4 0. 1 5c 3 3. - ( k) C o m p ut ati o n f or d et er mi n ati o n of s ec urit y b as e d s w a p r es er v e r e q uir e m e nts p urs u a nt t o Ex hi bit B t o 1 7 C F R 2 4 0. 1 5c 3 3 or Ex hi bit A t o 1 7 C F R 2 4 0. 1 8 a 4, as a p plic a bl e. - (l) C o m p ut ati o n f or D et er mi n ati o n of P A B R e q uir e m e nts u n d er Ex hi bit A t o § 2 4 0. 1 5c 3 3. - m) I nf or m ati o n r el ati n g t o p oss essi o n or c o ntr ol r e q uir e m e nts f or c ust o m ers u n d er 1 7 C F R 2 4 0. 1 5c 3 3. - n) I nf or m ati o n r el ati n g t o p oss essi o n or c o ntr ol r e q uir e m e nts f or s ec urit y b as e d s w a p c ust o m ers u n d er 1 7 C F R 2 4 0. 1 5c 3 3( p)( 2) or 1 7 C F R 2 4 0. 1 8 a 4, as a p plic a bl e. - o) R ec o ncili ati o ns, i ncl u di n g a p pr o pri at e ex pl a n ati o ns, of t h e F O C U S R e p ort wit h c o m p ut ati o n of n et c a pit al or t a n gi bl e n et w ort h u n d er 1 7 C F R 2 4 0. 1 5c 3 1, 1 7 C F R 2 4 0. 1 8 a 1, or 1 7 C F R 2 4 0. 1 8 a 2, as a p plic a bl e, a n d t h e r es er v e r e q uir e m e nts u n d er 1 7 C F R 2 4 0. 1 5c 3 3 or 1 7 C F R 2 4 0. 1 8 a 4, as a p plic a bl e, if m at eri al diff er e nc es exist, or a st at e m e nt t h at n o m at eri al diff er e nc es exist. - p) S u m m ar y of fi n a nci al d at a f or s u bsi di ari es n ot c o ns oli d at e d i n t h e st at e m e nt of fi n a nci al c o n diti o n. - q) O at h or affir m ati o n i n acc or d a nc e wit h 1 7 C F R 2 4 0. 1 7 a 5, 1 7 C F R 2 4 0. 1 7 a 1 2, or 1 7 C F R 2 4 0. 1 8 a 7, as a p plic a bl e - r) C o m pli a nc e r e p ort i n acc or d a nc e wit h 1 7 C F R 2 4 0. 1 7 a 5 or 1 7 C F R 2 4 0. 1 8 a 7, as a p plic a bl e. - (s) Ex e m pti o n r e p ort i n acc or d a nc e wit h 1 7 C F R 2 4 0. 1 7 a 5 or 1 7 C F R 2 4 0. 1 8 a 7, as a p plic a bl e. - (t) I n d e p e n d e nt p u blic acc o u nt a nt's r e p ort b as e d o n a n ex a mi n ati o n of t h e st at e m e nt of fi n a nci al c o n diti o n - u) I n d e p e n d e nt p u blic acc o u nt a nt's r e p ort b as e d o n a n ex a mi n ati o n of t h e fi n a nci al r e p ort or fi n a nci al st at e m e nts u n d er 1 7 C F R 2 4 0. 1 7 a 5, 1 7 C F R 2 4 0. 1 8 a 7, or 1 7 C F R 2 4 0. 1 7 a 1 2, as a p plic a bl e. - v) I n d e p e n d e nt p u blic acc o u nt a nt's r e p ort b as e d o n a n ex a mi n ati o n of c ert ai n st at e m e nts i n t h e c o m pli a nc e r e p ort u n d er 1 7 C F R 2 4 0. 1 7 a 5 or 1 7 C F R 2 4 0. 1 8 a 7, as a p plic a bl e. - w) I n d e p e n d e nt p u blic acc o u nt a nt's r e p ort b as e d o n a r evi e w of t h e ex e m pti o n r e p ort u n d er 1 7 C F R 2 4 0. 1 7 a 5 or 1 7 C F R 2 4 0. 1 8 a 7, as a p plic a bl e. - (x) S u p pl e m e nt al r e p orts o n a p pl yi n g a gr e e d u p o n pr o e d ur es, i n acc or d a nc e wit h 1 7 C F R 2 4 0. 1 5c 3 1 e or 1 7 C F R 2 4 0. 1 7 a 1 2, as a p plic a bl e. - ( y) R e p ort d escri bi n g a n y m at eri al i n a d e q u aci es f o u n d t o exist or f o u n d t o h a v e exist e d si nc e t h e d at e of t h e pr evi o us a u dit, o a st at e m e nt t h at n o m at eri al i n a d e q u aci es exist, u n d er 1 7 C F R 2 4 0. 1 7 a 1 2( k). - z) Ot h er: \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ \_ - \* \* T o r e q u est c o nfi d e nti al tr e at m e nt of c ert ai n p orti o ns of t his fili n g, s e e 1 7 C F R 2 4 0. 1 7 a 5( e)( 3) or 1 7 C F R 2 4 0. 1 8 a 7( d)( 2), as a p plic a bl e. {2}------------------------------------------------ # **GOLDEN GATE GLOBAL FINANCIAL, LLC** # **d/b/a 3G Financial** Financial Statements and Reports of Independent Registered Public Accounting Firm Pursuant to Rule 17a-5 June 30, 2025 {3}------------------------------------------------ # **Golden Gate Global Financial, LLC (d/b/a 3G Financial)** Table of Contents June 30, 2025 | | Page(s) | |---------------------------------------------------------------------------------|---------| | Report of Independent Registered Public Accounting Firm | 1 | | Financial Statements | | | Statement of Financial Condition | 2 | | Statement of Operations | 3 | | Statement of Changes in Member's Equity | 4 | | Statement of Cash Flows | 5 | | Notes to Financial Statements | 6 - 8 | | Supplemental Information | 9 | | Schedule I - Computation of Net Capital Under Rule 15c3-1 of the Securities and | | | Exchange Commission | 10 | | Schedule II - Computation for Determination of Reserve Requirements | | | Under Rule 15c3-3 of the Securities and Exchange Commission | 11 | | Schedule III - Information Relating to Possession and Control Requirements | | | Under Rule 15c3-3 of the Securities and Exchange Commission | 12 | | Exemption Certification | 13 | | Report of Independent Registered Public Accounting Firm on Management's | | | Exemption Report | 14 | | Management's Exemption Report | 15 | | | | {4}------------------------------------------------ # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM #### Member Golden Gate Global Financial, LLC #### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Golden Gate Global Financial, LLC d/b/a 3G Financial as of June 30, 2025, the related statements of operations, changes in member's equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of Golden Gate Global Financial, LLC as of June 30, 2025, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. #### Basis for Opinion These financial statements are the responsibility of Golden Gate Global Financial, LLC's management. Our responsibility is to express an opinion on Golden Gate Global Financial, LLC's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to Golden Gate Global Financial, LLC in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion. #### Auditor's Report on Supplemental Information The supplemental information contained in Schedules I, II and III has been subjected to audit procedures performed in conjunction with the audit of Golden Gate Global Financial, LLC's financial statements. The supplemental information is the responsibility of Golden Gate Global Financial, LLC's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In our opinion, the supplemental information contained in Schedules I, II and III is fairly stated, in all material respects, in relation to the financial statements as a whole. PHILLIP V. GEORGE, PLLC We have served as Golden Gate Global Financial, LLC's auditor since 2023. Celeste, Texas September 19, 2025 ![](_page_4_Picture_15.jpeg) {5}------------------------------------------------ # **Golden Gate Global Financial, LLC** **d/b/a 3G Financial** Statement of Financial Condition June 30, 2025 | ASSETS
Cash
Prepaid expenses
Receivable from Parent
Other assets | \$
62,042
9,849
1,842
1,243 | |-----------------------------------------------------------------------------------------|-----------------------------------------| | Total Assets | \$
74,976 | | LIABILITIES AND MEMBER'S EQUITY
LIABILITIES
Accounts payable and accrued expenses | \$
14,085 | | Payable to Affiliate | 1,620 | | Total Liabilities | 15,705 | | MEMBER'S EQUITY | 59,271 | | Total Liabilities and Member's Equity | \$
74,976 | {6}------------------------------------------------ ## **Golden Gate Global Financial, LLC** **d/b/a 3G Financial** Statement of Operations For the Year Ended June 30, 2025 | Revenues
Private placement commissions | \$
121,500 | |-------------------------------------------|-----------------| | | \$
121,500 | | Expenses | | | Compensation and related expenses | 245,613 | | Professional fees | 87,775 | | Occupancy and equipment | 18,600 | | Regulatory fees | 4,939 | | Technology and communications | 14,902 | | Other expenses | 5,122 | | Total expenses | 376,951 | | Net loss | \$
(255,451) | {7}------------------------------------------------ ## **Golden Gate Global Financial, LLC d/b/a 3G Financial** Statement of Changes in Member's Equity For the Yer Ended June 30, 2025 | Balance, June 30, 2024 | \$
89,722 | |-----------------------------------|--------------| | Net loss | (255,451) | | Capital contributions from Member | 225,000 | | Balance, June 30, 2025 | \$
59,271 | {8}------------------------------------------------ # **Golden Gate Global Financial, LLC** #### **d/b/a 3G Financial** Statement of Cash Flows For the Year Ended June 30, 2025 | Cash Flows from Operating Activities | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------| | Net loss | \$
(255,451) | | Adjustments to reconcile net loss to net cash
used in operating activities: | | | Change in operating assets and liabilities:
Increase in prepaid expenses
Increase in receivable from Parent
Increase in other assets
Increase in accounts payable and accrued expenses
Increase in payable to Affiliate
Decrease in payable to Parent | (6,130)
(1,842)
(1,243)
5,260
1,620
(1,292) | | Net cash used in operating activities | (259,078) | | Cash Flows from Financing Activities
Capital contributions from Member
Net cash provided by financing activities | 225,000
225,000 | | Net Decrease in Cash
Cash, Beginning of Year
Cash, End of Year | \$
(34,078)
96,120
62,042 | ### **Supplemental Disclosures of Cash Flow Information:** There was no cash paid during the year for interest or income taxes. {9}------------------------------------------------ ## **NOTE 1. ORGANIZATION AND NATURE OF BUSINESS** Golden Gate Global Financial, LLC d/b/a 3G Financial (the Company) was organized in October 2021, as a limited liability company in accordance with the laws of the State of Delaware. The Company is a wholly-owned subsidiary of GGG Financial, LLC (Parent or Member), a California limited liability company. The Company is registered as a broker-dealer with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC). \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ The Company's operations consist primarily of acting as the managing broker-dealer in the distribution of securities in private placement offerings on a best-efforts basis to accredited investors who are also foreign nationals seeking lawful permanent residency in the U.S. through the EB-5 program. The Company is considered a Non-Covered Firm exempt from 17 C.F.R. § 240.15c3-3 relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. §240.l 7a-5. The Company limits its business activities exclusively to participating in distributions of securities (other than firm commitment underwritings) in accordance with the requirements of paragraphs (a) or (b)(2) of Rule 15c2-4. ## **NOTE 2. SIGNIFICANT ACCOUNTING POLICIES** #### **Use of Estimates** The preparation of financial statements in conformity with U.S. GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. #### **Segment Reporting** The Company is engaged in a single line of business as a securities broker-dealer, which is comprised of participating in the distribution of securities in private placement offerings on a bestefforts basis. The Company has identified its President as the chief operating decision maker ("CODM"), who uses net income to evaluate the results of the business, predominantly in the forecasting process, to manage the Company. Additionally, the CODM uses excess net capital, which is not a measure of profit and loss, to make operational decisions while maintaining capital adequacy, such as whether to reinvest profits or pay distributions. The Company's operations constitute a single operating segment and therefore, a single reportable segment, because the CODM manages the business activities using information of the Company as a whole. The accounting policies used to measure the profit and loss of the segment are the same as those described in the summary of significant accounting policies. Segment financial information is identical to that presented in the accompanying financial statements. {10}------------------------------------------------ #### **Revenue Recognition** #### *Significant Judgments* Revenue from contracts includes private placement commissions. The recognition and measurement of revenue is based on the assessment of individual contract terms. Significant judgment is required to determine whether the performance obligations are satisfied at a point in time or over time; how to allocate transaction prices where multiple performance obligations are identified; when to recognize revenue based on the appropriate measure of the Company's progress under the contract; and whether constraints on variable consideration should be applied due to uncertain future events. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ #### *Private Placement Commissions* The Company participates in the distribution of securities in private placement offerings on a bestefforts basis. Each time a customer enters into a buy transaction, the Company charges a commission. Commissions are recognized on the trade date. The Company believes that the performance obligation is satisfied on the trade date because that is when the underlying private placement interest is identified, the pricing is agreed upon and the risks and rewards of ownership have been transferred to the customer. #### **Income Taxes** The Company is a single member limited liability company and is treated as a disregarded entity for federal income tax purposes. The Company's taxable income or loss is included in the Partnership tax return of its Parent; resulting in all the federal tax liabilities or benefits relating to the operations of the Company passing through to the members of the Parent; therefore, federal income taxes are not payable by, or provided for by, the Company. The Company is subject to state income taxes. #### **NOTE 3. RELATED PARTY TRANSACTIONS** The Company and its Parent are under common control. The existence of that control could create operating results and financial positions different than if the entities were autonomous. #### **NOTE 4. OFFICE SPACE** The Company is a party to a Co-Working Membership Agreement (Agreement) with the owner of a building. Under the Agreement, the owner provides office space, workstations, utilities, internet access, office equipment, conference space, knowledge resources, and other services for \$1,550 per month. The Agreement renews on November 30th each year, unless canceled by either party with 30 days notice. Rent expense for the year ended June 30, 2025 was \$18,600. Future minimum payments under the Agreement total \$7,750. The Company has elected to apply the short-term lease exception of ASC 842 to all leases with a term of one year or less. {11}------------------------------------------------ Golden Gate Global Financial, LLC d/b/a 3G Financial Notes to Financial Statements For the Year Ended June 30, 2025 ### **NOTE 5. NET CAPITAL REQUIREMENTS** The Company is subject to the SEC Uniform Net Capital Rule (SEC Rule 15c3-1), which requires the maintenance of minimum net capital and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 15 to 1. At June 30, 2025 the Company had net capital of \$46,337 which was \$41,337 in excess of its minimum required net capital of \$5,000. The Company's net capital ratio was .34 to 1. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ ## **NOTE 6. CONTINGENCIES** There are currently no asserted claims or legal proceedings against the Company. However, the nature of the Company's business subjects it to various claims, regulatory examinations, and other proceedings in the ordinary course of business. The ultimate outcome of any such future action against the Company could have an adverse impact on the financial condition, results of operations, or cash flows of the Company. #### **NOTE 7. GOING CONCERN** The Company has incurred losses since inception totaling approximately \$1.5m, including \$255,451 for the year ended June 30, 2025. These conditions raise substantial doubt about the Company's ability to continue as a going concern. However, management has evaluated the Company's current financial situation and developed plans that are intended to alleviate this substantial doubt. These plans include earning revenues from acting as managing broker-dealer in the distribution of securities in private placement offerings and, if necessary, capital contributions from its Parent, which has committed to continue to support the Company until it generates sufficient revenue to fund its operations. Based on the successful implementation of these plans, management believes that the Company will have sufficient liquidity to meet its obligations as they come due and, therefore, has concluded that the substantial doubt about the Company's ability to continue as a going concern has been alleviated. The accompanying financial statements do not include any adjustments that might result from the outcome of this uncertainty. ### **NOTE 8. SUBSEQUENT EVENTS** Management has evaluated the Company's events and transactions that occurred subsequent to June 30, 2025, through September 19, 2025, the date the financial statements were available for issuance. There were no material subsequent events requiring recognition or additional disclosure in these financial statements. {12}------------------------------------------------ **Supplemental Information** {13}------------------------------------------------ # **Golden Gate Global Financial, LLC d/b/a 3G Financial Schedule I** # Computation of Net Capital Under Rule 15c3-1 of the Securities and Exchange Commission As of June 30, 2025 | COMPUTATION OF NET CAPITAL | | |---------------------------------------------------------------------------------------------------------------------|--------------| | Total Member's equity | \$
59,271 | | Less non-allowable assets: | | | Prepaid expenses | 9,849 | | Receivable from Parent | 1,842 | | Other assets | 1,243 | | Net capital | \$
46,337 | | | | | Aggregate Indebtedness | | | Accounts payable and accrued expenses | \$
14,085 | | Payable to Affiliate | 1,620 | | Total aggregate indebtedness | \$
15,705 | | Computation of Basic Net Capital Requirement
Minimum net capital required (greater of \$5,000 or 6-2/3% of total | | | aggregate indebtedness) | \$
5,000 | | Excess net capital | \$
41,337 | | Ratio of aggregate indebtedness to net capital | .34 to 1 | | | | ## **Reconciliation of Computation of Net Capital** There are no material differences between the computation above and the computation included in the Company's corresponding unaudited June 30, 2025 FOCUS Report, Part IIA, Form X-17a-5. Accordingly, no reconciliation is necessary. {14}------------------------------------------------ # **Golden Gate Global Financial, LLC d/b/a 3G Financial Schedule II Computation for Determination of Reserve Requirements Under Rule 15c3-3 of the Securities and Exchange Commission As of June 30, 2025** The Company does not claim exemption under Securities and Exchange Commission Rule 15c3- 3 and relies on Footnote 74 of SEC Release 34-70073 adopting amendments to 17 C.F.R.§240.17a-5. The Company carries no accounts, does not hold funds or securities for, or owe money or securities to, customers. Accordingly, the Computation for Determination of Reserve Requirements is not required. {15}------------------------------------------------ # **Golden Gate Global Financial, LLC d/b/a 3G Financial Schedule III Information Relating to Possession and Control Requirements Under Rule 15c3-3 of the Securities and Exchange Commission As of June 30, 2025** The Company does not claim exemption under Securities and Exchange Commission Rule 15c3- 3 and relies on Footnote 74 of SEC Release 34-70073 adopting amendments to 17 C.F.R.§240.17a-5. The Company carries no accounts, does not hold funds or securities for, or owe money or securities to, customers. Accordingly, Information Relating to Possession and Control Requirements is not required. {16}------------------------------------------------ **Exemption Certification** {17}------------------------------------------------ # Phillip V. George, PLLC Certified Public Accountant # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM #### Member Golden Gate Global Financial, LLC We have reviewed management's statements, included in the accompanying Rule 15c3-3 Exemption Report pursuant to SEC Rule 17a-5, in which (1) Golden Gate Global Financial, LLC d/b/a 3G Financial (the Company) did not claim an exemption under paragraph (k) of 17 C.F.R. §240.15c3-3, and (2) the Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to receiving transaction-based compensation as placement agent for the private placement of securities. In addition, the Company did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription way basis where the funds are payable to the issuer or its agent and not to the Company; did not carry accounts of or for customers; and did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Golden Gate Global Financial, LLC's management is responsible for compliance with the provisions contemplated by Footnote 74 of SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 and related SEC Staff Frequently Asked Questions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about Golden Gate Global Financial, LLC's compliance with the exemption provisions. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based upon the Company's business activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5, and related SEC Staff Frequently Asked Questions. ILLIP V. GEORGE, PLLC Celeste, Texas September 19, 2025 14 ![](_page_17_Picture_12.jpeg) {18}------------------------------------------------ ![](_page_18_Figure_0.jpeg) ## **EXEMPTION REPORT** Golden Gate Global Financial, LLC (d/b/a 3G Financial, the "Company") is a registered brokerdealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17a-S, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. § 240.17a-S(d)(l) and (4). To the best of its knowledge and belief, the Company states the following: (1) The Company does not claim an exemption under paragraph (k) of 17 C.F.R. § 240.15c3-3, and (2) The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to receiving transaction-based compensation as placement agent for the private placement of securities, and the Company did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers throughout the period from July 1, 2024 through June 30, 2025, without exception. Golden Gate Global Financial, LLC \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ d/b/a 3G Financial I, Susan Hayes, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. Sign: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Date: September 19, 2025\_\_\_\_\_\_\_ Susan Hayes Chief Financial Officer & FinOp SEC Filing #8-70903 FINRA CRD #317740 {19}------------------------------------------------ ### **DESCRIPTION OF ATTACHED DOCUMENT** Title or Type of Document: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Annual Report Document Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 09/22/2025 Number of Pages (including notarial certificate): \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 20 Commonwealth of Virginia County of Prince William The foregoing instrument was subscribed and sworn before me on 09/22/2025 by Susan Hayes. who appeared before me online and produced a New Jersey Driver License as proof of identification. \_\_\_\_\_\_\_\_\_\_\_\_\_ Notary Signature My commission expires: 02/28/2029 Kimberly Agyemang Fosu ![](_page_19_Picture_11.jpeg) Notarized remotely online using communication technology via Proof. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.