Full text of ARBOR RESEARCH & TRADING, LLC's X-17A-5 filed 2020-02-25 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Arbor Research & Trading, LLC** (SEC File No. 8-38818) Statement of Financial Condition as of December 31, 2019, and Report of Independent Registered Public Accounting Firm Filed pursuant to Rule 17a-5(e)(3) under the Securities and Exchange Act of 1934 as a PUBLIC DOCUMENT {1}------------------------------------------------ UNITED STATES SECURlTIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 > I SEC FILE NUMBER I I 8-38818 I # ANNUAL AUDITED REPORT FORM X-17A-5 PART III ### FACING PAGE Information Reqnired of Brokers and Dealers Pursuant to Section 17 of the Secnrities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERlOD BEGINNING | __<br>MMIDDIYY | -:-:"0":,11",0,,,:11,,,19,-_ AND ENDING | 12/31/19<br>MMlDDNY | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------------------------|-----------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER - DEALER: Arbor Research & Trading, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM !.D. NO. | | 1000 Hart Road, Suite 260 | | | | | (No. and Street) | | | | | Barrington<br>Illinois | | | 60010 | | (City)<br>(State) | | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | James R. Stevens | | | 847-304-1550 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | DeMarco Sciaccotta Wilkens & Dunleavy, LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 9645 W. Lincolnway Lane, Ste 214A<br>Frankfort | | IL | 60423 | | (Address)<br>(City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | W Certified Public Accountant | | | | | D Public Accountant | | | | | D Accountant not resident | in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | *Claims for exemption from the requirement that the annual report be covered by the opinion 0/ an independent public accountant | | | | *must be supported by a statement offacts and circumstances relied on as the basis for the exemption. See section 24…Read the full text as markdown