Full text of TRADESTATION SECURITIES, INC.'s X-17A-5 filed 2022-05-31 (period 2022-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition March 31, 2022 (With Repmt of Independent Registered Public Accounting Firm Thereon) Filed pursuant to Rule 17a-5(e)(3) Under the Securities Exchange Act of 1934 and CFTC Regulation 1.1 O(g) As a Public Document {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-48711 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** 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 04/01 /21 AND ENDING 03/31 /22 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION ## NAME oF FIRM: TradeStation Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer 0 Major security-based swap participant 0 Check here if respondent is also an OlC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 8050 SW 1Oth Street, Suite 2000 | FL<br>(State) | | 33324 | | |---------------|-------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | (Zip Code) | | | | | | | | | | j ro jek@tradestatio n _com | | | | | | | | | | | | | | | | | | | FL | 33130 | | | (City) | (State) | (Zip Code) | | | | | | | | | 185 | | | | | PERSO N TO CONTACT WITH REGARD TO THIS FILING<br>78 SW 7th Street, Suite 1200 Miami | (312)471 -4750<br>(Area Code- Telephone Number)<br>(Email Address)<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | \*Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement off acts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are t o respond t o t he collection of information contained in this form are not required t o respond unless the form displays a currently v…Read the full text as markdown