Full text of ATM EXECUTION LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). 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, 2021 (SEC I.D. No. 8-65509) {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER | 8-65509 | | |---------|--| | | | **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 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ MM/DD/YY MM/DD/YY / / \_ 01/01/2021 A MM/DD/YY \_12/31/2021 ## **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ **ATM Execution LLC** \_ TYPE OF REGISTRANT (check all applicable boxes): \_ Broker-dealer ܆ Security-based swap dealer ܆ Major security-based swap participant ܆ Check here if respondent is also an OTC derivatives dealer ## ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) #### **599 Lexington Avenue** | | (No. and Street) | | | | |---------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------|--------------------------------------------|--| | New York | NY<br>_____________________________________________________________________________________ | | 10022 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Francis Jordan | 646-690-3257<br>_____________________________________________________________________________________ | Francis.Jordan@cowen.com | | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | _____________________________________________________________________________________<br>(Name – if individual, state last, first, and middle name) | | | | | 345 Park Avenue | New York | NY | 10154 | | | KPMG LLP | __________________________________________________________________________…Read the full text as markdown