Full text of ARCHIPELAGO SECURITIES L.L.C.'s X-17A-5 filed 2024-03-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **0MB APPROVAL** 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-52140 ## **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 **O 1/01/2023** AND ENDING **12/31/2023** **MM/DD/VY** **MM/DD/VY** **A. REGISTRANT IDENTIFICATION** ## NAME oF FIRM: Archipelago Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): lel Broker-dealer □ Security-based swap dealer D Major security-based swap participant 0 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<br>Thomasson | (770)916-2593 | | sean.lhomasson@ice.com | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | ACCOUNTANT IDENTIFICATION<br>B. | | | | | | | | | Ernst<br>&<br>Young<br>LLP<br>, | (Name -if individual, state last, first, and middle name) | | | | One<br>Manhattan<br>West,<br>395<br>Ninth | New<br>York<br>Avenue | NY | 10001 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 42 | | | (<br>te of Registration with PCAOB)(if applicable)<br>r | | | (PCAOB Registration Number, if applicable) | \* 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)(l)(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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | _________ ~ 2~<br>as of<br>financial report pertaining to the firm of Archipelago Securilies, LLC<br>-'1-=2::./.:c3:.1 | I, Robert Hill | | swear (or affirm) that, to the best of my k…Read the full text as markdown