Canaccord Genuity LLC 

NY

  SEC # 766050

        

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39  SEC Filings   from  3/17/03  to  5/31/23  (11 Months Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5 — for 3/31/23 — Filed as:  Filer / Offerer
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Forms , Documents & Exhibits  in  39 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
5/31/23			X-17A-5		Update:		Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5	21
7/15/21	OLD		FOCUSN		Update:		Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers  OLD	14
4/10/17	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	4
					Broker-Dealer Reports:
5/31/23			FULL		Annual Financial Reports (Full)			4
5/28/21	OLD		STMT FIN COND		Statements of Financial Condition  OLD			5
5/28/21	OLD		STMT FIN COND NOTES		Notes to Statements of Financial Condition  OLD			5
5/28/21	OLD		STMT INCOME		Statements of Income  OLD			2
5/28/21	OLD		STMT CASH FLOW		Statements of Cash Flows  OLD			2
5/28/21	OLD		STMT CHG SH EQY		Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity  OLD			2
5/28/21	OLD		STMT CHG SUB LIABS		Statements of Changes in Liabilities Subordinated to Claims of Creditors  OLD			2
5/28/21	OLD		COMP NET CAP		Computations of Net Capital  OLD			2
5/28/21	OLD		INFO POS CTRL REQ		Info re: Possession and Control Requirements  OLD			2
5/28/21	OLD		EXEMP RPT		Exemption Reports  OLD			5
5/28/21	OLD		ACCT RPT STMT FIN CO		Accountants’ Reports re: Examinations of Statements of Financial Condition  OLD			5
5/28/21	OLD		ACCT RPT FIN RPT		Accountants’ Reports re: Examinations of Financial Reports and Financial Statements  OLD			2
5/28/21	OLD		ACCT RPT EXEMP RPT		Accountants’ Reports re: Reviews of Exemption Reports  OLD			5
6/1/20	OLD		OTHER		Other Disclosures  OLD			9

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2023		1
2022		1
2021		2
2020		1
⇑
2018		2
2017		6
2016		1
2015		2
2014		2
2013		2
2012		3
2011		2
2010		3
2009		1
2008		2
2007		2
2006		2
2005		2
2004		1
2003		1