Full text of CODA MARKETS, INC.'s X-17A-5 filed 2021-03-04 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # *CODA Markets, Inc.* Financial Statements and Independent Auditors' Report As of and for the Year Ended December 31, 2020 Filed as a Public Document pursuant to Rule 17a-5( d) of the Securities Exchanges Act of 1934. \*\*\*PUBLIC DOCUMENT\*\*\* ---- - - -------- - - --- -- - {1}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... . . 12.00 SEC FILE NUMBER S-47077 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a·5 Thereunder | REPORT FOR THE PERIOD BEGINNING Q 1/01 /2020 | | | AND ENDING 12/31 /2020<br>~~~~~~~<br>~~<br>MM/DD!YY | | |----------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|---------|-----------------------------------------------------|--| | | MM/DDIYY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: CODA Markets, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM l.D. NO. | | | | | | | | | 2624 Patriot Blvd. | | | | | | | (No. and Street) | | | | | Glenview | IL | | 60026 | | | (Ciiy) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Edward O' Malley | | | (224) 521-2700 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Baker Tilly Virchow Krause, LLP | | | | | | | (Name - ifindfridual, stato last, first, middle name) | | | | | 1 Pennsylvania Plaza #3000 | New York | NY | 10119 | | | (Address) | (City) | (State) | (Zip Code) | | | CJIECKONE: | | | | | | It/ j<br>Certified Public Accountant | | | | | | | | | | | | Public Accountant | | | | | | B<br>Account~t 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 of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption.…Read the full text as markdown