Full text of APEX CLEARING CORPORATION's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Apex Clearing Corporation Statement of Financial Condition and Supplemental Schedules With Report of Independent Registered Public Accounting Firm December 31, 2021 Files as public information pursuant to Rule 17A-5(d) under the Securities Exchange Act of 1934 and Regulation 1.10(g) of the Commodity Exchange Act. {1}------------------------------------------------ | UNITED STATES SECURITIES AND EXCHANGE<br>COMMISSION Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|--------------------| | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5<br>PART III | 8-23522 | | | | | | | | | 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 _______01/01/21______ AND ENDING ______12/31/21______ | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: _Apex Clearing Corporation ________________________________________________________ | | | | | Broker-dealer<br>Security-based swap dealer | | Major security-based swap | participant | | Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>One Dallas Center, 350 N. St. Paul Street, Suite 1300____________________________________________ | | | | | | (No. and Street) | | | | ________________ Dallas________________________TX__________________________75201________ | | | | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Janet De La Fuente_____________________214-765-1276___jdelafuente@apexfintechsolutions.com___<br>(Name) | (Area Code<br>Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | RSM US LLP____________________________________________________________________________ | | | | | (Name | if individua…Read the full text as markdown