Full text of TD AMERITRADE CLEARING, INC.'s X-17A-5 filed 2020-11-24 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### STATEMENT OF FINANCIAL CONDITION TD Ameritrade Clearing, Inc. (An Indirect Wholly-Owned Subsidiary of TD Ameritrade Holding Corporation) SEC File Number 8-16335 September 30, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ ### Statement of Financial Condition September 30, 2020 ### **Contents** | Report oflndependent Registered Public Accounting Firm<br><br> | I | |------------------------------------------------------------------------------|---| | Statement of Financial Condition<br><br><br><br><br><br><br><br><br><br><br> | 2 | | Notes to the Statement of Financial Condition<br><br> | 3 | {2}------------------------------------------------  Ernst & Young LLP 5 Times Square New York, NY 10036-6530 Tel:+ 1 212 773 3000 Fax: + 1 212 773 6350 ey.com #### **Report of Independent Registered Public Accounting Firm** To the Stockholder and Board of Directors of TD Ameritrade Clearing, Inc. #### **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of TD Ameritrade Clearing, Inc. ( the Company) as of September 30, 2020 and the related notes (the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company at September 30, 2020, in conformity with U.S. generally accepted accounting principles. #### **Basis for Opinion** This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those risks. Such pr…Read the full text as markdown