Canaccord Genuity LLC – ‘X-17A-5’ for 3/31/22

On: Friday, 5/27/22, at 3:41pm ET · Effective: 5/27/22 · For: 3/31/22 · Accession #: 766050-22-9 · File #: 8-03271

Document/Exhibit Description Pages Size 1: X-17A-5 Annual Financial Report [ a.k.a. FOCUS Report ] by HTML 5K a Broker or Dealer -- primary_doc.xml 2: FULL Annual Financial Report (Full) -- cgfull PDF 2.38M

X-17A-5: Submission Information

Report for the Period Beginning

4/1/21

and Ending

3/31/22

Type of Registrant

Broker-dealer

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Broker-dealer

CANACCORD GENUITY LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

535 MADISON AVENUE

Address 2

SUITE 1200

City

NEW YORK

State/Country

NEW YORK

Mailing Zip/ Portal Code

10022

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Stella Yan

Telephone Number

2123898085

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Ernst & Young LLP

Address 1

One Manhattan West

City

New York

State/Country

NEW YORK

Mailing Zip/ Postal Code

10001

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Stella Yan, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of CANACCORD GENUITY LLC, as of 3/31/22, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

Stella Yan

Title

Managing Director of Finance

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

Canaccord Genuity LLC – ‘X-17A-5’ for 3/31/22

On: Friday, 5/27/22, at 3:41pm ET · Effective: 5/27/22 · For: 3/31/22 · Accession #: 766050-22-9 · File #: 8-03271

Previous ‘X-17A-5’: ‘X-17A-5’ on 5/28/21 for 3/31/21 · Next & Latest: ‘X-17A-5’ on 5/31/23 for 3/31/23

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

Filing Table of Contents

‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Canaccord Genuity LLC – ‘X-17A-5’ for 3/31/22

On: Friday, 5/27/22, at 3:41pm ET · Effective: 5/27/22 · For: 3/31/22 · Accession #: 766050-22-9 · File #: 8-03271

Previous ‘X-17A-5’: ‘X-17A-5’ on 5/28/21 for 3/31/21 · Next & Latest: ‘X-17A-5’ on 5/31/23 for 3/31/23

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

‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

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

Filing Table of Contents