Full text of ARCHIPELAGO SECURITIES L.L.C.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Archipelago Securities, LLC** Statement of Financial Condition Filed Pursuant to Rule 17a-5 of the Securities Exchange Act of 1934 December 31, 2020 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** OMB APPROVAL OMB Number 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response. 12.00 | SEC FILE NUMBER | |-----------------| | a-52140 | 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 01/01/2020<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | AND ENDING 12/31/2020 | MMUDD/TY | |----------------------------------------------------------------------------------------|------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | NAME OF BROKER-DEALER: Archipelago Securities, LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | (No. and Street) | | | | IL | | 60654-4721 | | (State) | | (zip Code) | | | | (770) 916-2593 | | | | (Area Code — Telephone Number) | | | | | | | | | | | | | | | Me name) | | | | GA | 30309 | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 1230 Peachtree St NE, Suite 1500 Atlanta | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name — ifindividual. state last, au<br>United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | \*Claims fin-exemption from the requirement that the annual report be covered by the opinion of an independent public accoun ant must be supported by a statement nifacts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless theform displays a currently valid OMB control number. SEC 1410…Read the full text as markdown