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Canaccord Genuity LLC – ‘X-17A-5’ for 3/31/21 – ‘INFO POS CTRL REQ’

On:  Friday, 5/28/21, at 4:25pm ET   ·   For:  3/31/21   ·   Confirming Copy?  Yes ©   ·   Accession #:  766050-21-5   ·   File #:  8-03271

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  As Of               Filer                 Filing    For·On·As Docs:Size

 5/28/21  Canaccord Genuity LLC             X-17A-5©    3/31/21   14:7.4M

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      6K 
                a Broker or Dealer -- primary_doc.xml                            
 2: FULL        Fullfs -- full                                       PDF   3.44M 
11: STMT FIN COND  Statement of Financial Condition -- sfc           PDF    163K 
14: STMT FIN COND NOTES  Notes to the Statement of Financial         PDF    326K 
                Condition -- stmtfincondnotes                                    
12: STMT INCOME  Statement of Income -- si                           PDF    160K 
 6: STMT CASH FLOW  Statement of Cash Flow -- cf                     PDF     64K 
13: STMT CHG SH EQY  Statement of Changes in Stockholders',          PDF    124K 
                Partners' or Sole Proprietors' Equity -- stmcheq                 
10: STMT CHG SUB LIABS  Statement of Changes in Liabilities          PDF    101K 
                Subordinated to Claims of Creditors -- scsl                      
 7: COMP NET CAP  Computation of Net Capital -- cnc                  PDF    199K 
 9: INFO POS CTRL REQ  Info re: Possession and Control               PDF     56K 
                Requirements -- ipcr                                             
 8: EXEMP RPT   Exemption Report -- er                               PDF    223K 
 4: ACCT RPT STMT FIN CO  Accountant's Report re: an Examination     PDF    150K 
                of the Statement of Financial Condition -- a0301b                
 3: ACCT RPT FIN RPT  Accountant's Report re: an Examination of      PDF     94K 
                Financial Reports and Financial Statements --                    
                a0301a                                                           
 5: ACCT RPT EXEMP RPT  Accountant's Report re: a Review of an       PDF    320K 
                Exemption Report -- attesta01                                    


‘INFO POS CTRL REQ’   —   Info re: Possession and Control Requirements — ipcr


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Filing Submission 0000766050-21-000005   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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