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

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

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

X-17A-5: Filer Information

Filer CIK

0000766050

Filer CCC

XXXXXXXX

Is this a LIVE or TEST Filing?

LIVE

TEST

Would you like a Return Copy?

Is this an electronic copy of an official filing submitted in paper format?

Confirming Copy File Number

008-03271

Submission Contact Information

Name

Phone

E-Mail Address

Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning

4/1/19

and Ending

3/31/20

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

Don Macfayden

Telephone Number

212-389-8088

X-17A-5: B. Accountant Identification

Independent Public Accountant

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

Ernst & Young LLP

Address 1

5 Times Square

City

New York

State/Country

NEW YORK

Mailing Zip/ Postal Code

10036

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, Don MacFayden, 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 3/31/20, 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

don macfayden

Title

CFO

Notary Public

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

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

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

Previous ‘X-17A-5’: ‘X-17A-5’ on 5/30/18 for 3/31/18 · Next: ‘X-17A-5’ on 5/28/21 for 3/31/21 · 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 3/31/20

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

Previous ‘X-17A-5’: ‘X-17A-5’ on 5/30/18 for 3/31/18 · Next: ‘X-17A-5’ on 5/28/21 for 3/31/21 · 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

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

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