Full text of PROFESSIONAL TRADING SERVICES BROKERAGE, LLC's X-17A-5/A filed 2023-05-17 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0 MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | f. | | | | PART Ill | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | AND ENDING 12/31/2022<br>FILING FOR THE PERIOD BEGINNING O 1/01/2022 | | | | | | | MM/DD/VY | | MM/DD/ YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Professional Trading Services Brokerage, LLC aka PTS Brokerage, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Major security-based swap participant<br>0 Broker-dealer<br>D Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | AD DRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 125 Gaither Drive, Suite C | | | | | | | (No. and Street) | | | | | Mount Laurel | NJ | | 08054 | | | (City ) | (State) | | (Zip Code) | | | PERSON TO CONTACT W ITH REGARD TO THIS FILING | | | | | | Jeremy J Schank | 856-802-9400 | | compliance@ptsbrokerage.com | | | (Name) | | (Email Address)<br>(Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Romeo & Chiaverelli, LLC CPA's | | | | | | | (Nam e - if individual, state last, first, and middle name) | | | | | One Bala Ave, Suite 234 | Bala Cynwyd | | 19004<br>PA | | | (Address) | (City) | | (State)<br>(Zip Code) | | | 09/01/2009<br>l" | | 3721 | | | | of RegiWaMo wi<h PCAOBl{if applicableJ | FOR OFFICIAL USE ONLY | | [PCAOR Regis<,a<ioo Norn be,, if applicableJ I | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an indep…Read the full text as markdown