Full text of ARCHIPELAGO SECURITIES L.L.C.'s X-17A-5 filed 2023-03-20 (period 2022-12-31). 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, 2022** {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 # **ANNUAL REPORTS FORM X-17A-5 PART III** | | SEC FILE NUMBER | |--|-----------------| | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | FILING FOR THE PERIOD BEGINNING | 01/01/2022<br>MM/DD/YY | AND ENDING | 12/31/2022<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Archipelago Securities, LLC | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>❑ Check here if respondent is also an OTC derivatives dealer | ❑ Security-based swap dealer | 0 Major security-based swap participant | | | 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*<br>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…Read the full text as markdown