Full text of TD SECURITIES (USA) LLC's X-17A-5 filed 2025-12-29 (period 2025-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  ## TD Securities (USA) LLC # Statement of Financial Condition With Report of Independent Registered Public Accounting Firm October 31, 2025 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 #### ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-36747 | | 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 \_11/01/2024 AND ENDING\_10/31/2025 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION TD Securities (USA) LLC NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): - Broker-dealer O Security-based swap dealer 0 Major security-based swap participant □ 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 10017 NY (City) (Zip Code) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Jorge Ortiz (212) 827-7000 Jorge.L.Ortiz@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 (Name – if individual, state last, first, and middle name) One Manhattan West New York 10001 NY (Address) (City) (State) (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Jorge Ortiz | | | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------------------------------|------------------------|----------------------------------------------------------------------------------------------------------------------…Read the full text as markdown