Full text of TD Ameritrade Clearing, Inc.'s X-17A-5 filed 2024-02-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **(SEC I.D. NO. 8-16335)** Statement of Financial Condition as of December 31, 2023 and Report of Independent Registered Public Accounting Firm #### PUBLIC DOCUMENT (Pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934). {1}------------------------------------------------ #### OMB APPROVAL | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB Number: 3235-0123<br>Expires: November 30, 2026<br>Estimated average burden<br>hours per response 12.00 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|-------------------------------------------------------------------------------------------------------------|--|--| | ANNUAL AUDITED REPORT<br>FORM X-17A-5 | | | | SEC FILE NUMBER | | | | | | | | 8-16335 | | | | | PART III | | | | | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12 and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | FILING FOR THE PERIOD BEGINNING | | 01/01/23 | AND ENDING | 12/31/23 | | | | | | MM/DD/YY | | MM/DD/YY | | | | _____________________________________________________________________________________________<br>_____________________________________________________________________________________________ | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: TD Ameritrade Clearing, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | Broker-dealer<br>☐ Security-based<br>☒ | swap<br>dealer | ☐ Major<br>security-based | swap<br>participant | | | | | ☐ Check<br>here<br>if<br>respondent | is<br>also<br>an<br>OTC | derivatives<br>dealer. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | 200 S. 108th Avenue | | | | | | | | | | (No. and Street) | | | | | | Omaha | | Nebraska | 68154 | | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Aaron Thompson | | (720) 418-4492 | | aaron.thompson@schwab.com | | | | (Name) | | (Area Code - Telephone Number) | (email address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT w…Read the full text as markdown