Full text of ATM EXECUTION LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **ATM Execution LLC** **Statement of Financial Condition** **December 31, 2019** *(SEC I.D. No. 8-65509)* {1}------------------------------------------------ UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 PROVAL 0 MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 ## ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill ## **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | __<br>12_0_19 ___<br>0_1<br>__ I0=1,_<br>MMIDD/YY | AND ENDING _ | ____<br>__ 1<br>2_<br>2_<br>01_9<br>13=-<br>11 __<br>_<br>_<br>MMIDD/YY | | |-------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|--------------|-------------------------------------------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER:<br>A TM Execution LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>599 Lexington Avenue | | | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | New York | (No. and Street)<br>NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Francis Jordan | | | 646-690-3257<br>(Area Code - Telephone No.) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>KPMG LLP | B. ACCOUNTANT IDENTIFICATION | | | | | 345 Park Avenue | (Name - of individual, state last, first, middle name)<br>New York | NY | 10154 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>X Certified Public Accountant<br>□ Public Accountant | □ Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement offacts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2) SEC 1410 (06-02) Potential 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. {2}-----------------------------------…Read the full text as markdown