Full text of ACS EXECUTION SERVICES, LLC's X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **FINANCIAL STATEMENTS AND SUPPLEMENTARY SCHEDULES PURSUANT TO SEC RULE 17a-5(d)** **December 31, 2020 AVAILABLE FOR PUBLIC INSPECTION** {1}------------------------------------------------ # **OATH OR AFFIRMATION** I, **Mark DeRolf**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **ACS Execution Services, LLC** as of **December 31, 2020** are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows: None Signature 1BSL(F6PMG > Chief Compliance Officer Title \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ )HEUXDU\ Date *Based upon the Division of Trading and Markets Staff Statement Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns and the difficulties arising from Covid 19, ACS Execution Services, LLC is making this filing without a notarization.* This report\*\* contains (check all applicable boxes) - [**x**] (a) Facing Page. - [**x**] (b) Statement of Financial Condition. - [ ] (c) Statement of Income (Loss). - [ ] (d) Statement of Cash Flows. - [ ] (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietor's Capital. - [ ] (f) Statement of Changes in Liabilities Subordinated to Claims of General Creditors. - [**x**] (g) Computation of Net Capital for Brokers and Dealers pursuant to Rule 15c3-1. - [**x**] (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. - [**x**] (i) Information Relating to the Possession or Control Requirements for Brokers and Dealers Under Rule 15c3-3. - [ ] (j) A Reconciliation, including appropriate explanation, of the Computation of Net Capital Under Rule 15c3-1 and the Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. - [ ] (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of consolidation. - [**x**] (l) An Oath or Affirmation. - [ ] (m) A copy of the SIPC Supplemental Report. - [**x**] (n) A copy of the Exemption Report. - [] (o) Independent Auditors' Report on Internal Accounting Control. - [ ] (p) Schedule of Segregation Requirements and Funds in Segregation Customers' Regulated Commodity…Read the full text as markdown