Canaccord Genuity LLC – ‘X-17A-5’ for 3/31/20 – ‘STMT FIN COND NOTES’

On:  Monday, 6/1/20, at 2:31pm ET   ·   For:  3/31/20   ·   Confirming Copy?  Yes ©   ·   Accession #:  766050-20-7   ·   File #:  8-03271

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Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer   —   Form X-17A-5
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: X-17A-5     Annual Financial Report [ a.k.a. FOCUS Report ] by  HTML      8K 
                a Broker or Dealer -- primary_doc.xml                            
17: FULL        Annual Financial Report (Full) -- CGfull             PDF    569K 
 3: STMT FIN COND  Statement of Financial Condition -- sfc           PDF    177K 
 4: STMT FIN COND NOTES  Notes to Statement of Financial Condition   PDF    292K 
                -- stmtfincondnotes                                              
13: STMT INCOME  Statement of Income -- si                           PDF    154K 
14: STMT CASH FLOW  Statement of Cash Flows -- cf                    PDF    165K 
 5: STMT CHG SH EQY  Statement of Changes in Stockholders',          PDF    128K 
                Partners' or Sole Proprietors' Equity -- stmcheq                 
 6: STMT CHG SUB LIABS  Statement of Changes in Liabilities          PDF    126K 
                Subordinated to Claims of Creditors -- scsl                      
 7: COMP NET CAP  Computation of Net Capital -- cnc                  PDF    150K 
 8: INFO POS CTRL REQ  Information re: Possession or Control         PDF     80K 
                Requirements -- ipcr                                             
 9: EXEMP RPT   Exemption Report -- er                               PDF    171K 
10: ACCT RPT STMT FIN CO  Accountant's Report re: Examination of     PDF    186K 
                Statement of Financial Condition -- a0301bf                      
 2: ACCT RPT FIN RPT  Accountant's Report re: Examination of         PDF    164K 
                Financial Report or Financial Statements -- a0301a               
12: ACCT RPT EXEMP RPT  Accountant's Report re: Review of            PDF    167K 
                Exemption Report -- attesta01                                    
11: OTHER       Other Disclosure -- a0301c                           PDF    184K 
16: OTHER       Other Disclosure -- otherey                          PDF    318K 
15: OTHER       Other Disclosure -- sipc03                           PDF    166K 

‘STMT FIN COND NOTES’   —   Notes to Statement of Financial Condition — stmtfincondnotes

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