Full text of ARCHIPELAGO SECURITIES L.L.C.'s X-17A-5 filed 2022-03-03 (period 2021-12-31). 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, 2021** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART III** OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING 12/31/2021 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Archipelago Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 2 Broker-dealer 0 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.) 353 N Clark St, Suite 3200 (No. and Street) Chicago IL 60654-4721 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Sean Thomasson (770)916-2593 sean.thomasson©ice.com (Name) (Area Code — Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Frazier and Deeter, LLC (Name — if individual, state last, first, and middle name) 1230 Peachtree St NE, Suite 1500 Atlanta GA 30309 (Address) (City) (State) (Zip Code) 10/14/2003 215 (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 be covered by the 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-S(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 | I, Robert Hill | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------…Read the full text as markdown