Full text of TD PRIME SERVICES LLC's X-17A-5/A filed 2024-11-07 (period 2023-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ TD Securities  # TD Prime Services LLC # Statement of Financial Condition With Report of Independent Registered Public Accounting Firm October 31, 2023 {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-03337 | | | | PART III | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | filing for the period beginning 11/01/2022 | MM/DD/YY | ______________________________________________________________________________________________________________________________________________________________________________ | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | TD Prime Services LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>🇿 Broker-dealer<br>L Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | One Vanderbilt Avenue | | | | | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Richard Rosenthal 212-827-6840 | | | richard.rosenthal@tdsecurities.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. Accountant Identification | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Ernst & Young LLP | | | | | One Manhattan West | (Name - if individual, state last, first, and middle name)<br>New York | NY | 10001 | | | (Address) | (City)…Read the full text as markdown