Full text of TD Ameritrade, Inc.'s X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **(SEC. I.D. NO. 8-23395)** Statement of Financial Condition as of December 31, 2022 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}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB Number: 3235-0123<br>Expires: October 31, 2023<br>Estimated average burden<br>hours per response 12 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|--------------------------------------------------------|---------------------------------------------------------------------------------------------------------|-----------------------------|--| | ANNUAL AUDITED REPORT<br>FORM X-17A-5 | | SEC FILE NUMBER | | | | | | | | 8-23395 | | | | | 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<br>01/01/22 | | AND ENDING | 12/31/22 | | | | | MM/DD/YY | | MM/DD/YY | | | _____________________________________________________________________________________________<br>_____________________________________________________________________________________________ | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: TD Ameritrade, 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<br>derivatives | dealer. | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | | | | | 200 S. 108th Avenue | | (No. and Street) | | | | | | | | | | | | Omaha<br>(City) | Nebraska | (State) | 68154 | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Gregg J. Fuesel | | (402) 970-7014 | | gregg.fuesel@schwab.com | | | (Name) | | (Area Code - Telephone Number) | (email address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | |…Read the full text as markdown