Full text of ARCHIPELAGO SECURITIES L.L.C.'s X-17A-5 filed 2025-03-27 (period 2024-12-31). 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 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill SEC FILE NUMBER 8-52140 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 **01 /01 /24** AND EN DING **12/31 /24** MM/DD/YY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Archipelago Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer □ Major security-based swap participant Cl 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 | | |--|----------------------------|--| | | | | | 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<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Ernst & Young LLP | (Name - if individual, state last, first, and middle name) | | | | | One Manhattan West, 395 Ninth Avenue New York<br>(Address) | (City) | NY<br>(State) | 10001<br>(Zip Code) | | | 10/20/2003 | | 42 | | | | rte of Rog;suatioo w;th PCAOB)lif appl;cable) | | | (PCAOB Reg;su,uoo Nombec, ;f appUcable) | | \* 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** | | 1, Sean Thomasson | | swear (or affirm) that, to the best of my knowledge an…Read the full text as markdown