Full text of THEMIS TRADING LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FILED PURSUANT TO RULE 17A-5(e)(3) OF THE SECURITIES ACT OF 1934 AS A PUBLIC DOCUMENT ## **PUBLIC** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden # **ANNUAL REPORTS FORM X-17A-5 PART** Ill hours per response: 12 SEC FILE NUMBER 8-65260 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 /21 | AND EN DING ----'-1 =2/-=3:.,;1 /=2'-'-1 | __<br>_ | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------------------------|------------------------------------------------|--|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: _<br>_,_T,__H,,,E,.,_,MC!.!.1-"='.S_.T_,_R:,,_A.,_,,,D=l!!.N.!><G's, -LL~C,-!._ | | | ______________<br>_ | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Qg Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 10 TOWN SQUARE SUITE# 100 | | | | | | | | (No. and Street) | | | | | | CHATHAM | NJ | | 07928 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | PAUL ZAJAC<br>(Name) | (973) 665-9600<br>(Area Code - Telephone Number) | | Pzajac@ThemisTrading.com<br>(Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | SOBEL & CO., LLC | (Name - if individual, state last, first, and middle name) | | | | | | 293 EISENHOWER PARKWAY | LIVINGSTON | NJ | 07039 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/16/2003 | | 500 | | | | | l"<br>FOR OFFICIAL USE ON LY<br>of Reg;,,ca,;oo w;th PCAOB)(tt appl;cable) | | | I<br>(PCAOB Reg;~,,rt;oo N,mbe,, ;f appHcable) | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by…Read the full text as markdown