Full text of ATM EXECUTION LLC's X-17A-5 filed 2023-02-24 (period 2022-12-31). 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, 2022** *(SEC I.D. No. 8-65509)* {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | #### 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 | ___<br>__<br>0_1_/0_1/_2_02_2 | AND ENDING | ____<br>12_/3_1_/2_0_2_2 | __ | | |---------------------------------|-------------------------------|------------|--------------------------|----|--| | | MM/DD/YY | | MM/DD/YY | | | #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **\_\_\_\_ A\_T\_M\_E\_x\_e\_c\_u\_t\_io\_n\_L\_L\_C \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_** TYPE OF REGISTRANT (check all applicable boxes): [R] Broker-dealer D Security-based swap dealer D 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.) | | (No. and Street) | | | | |--------------------------------------------------|---------------------------------------------------------------------------|-----------------|--------------------------------------------|--| | New York | NY | | 10022<br>(Zip Code) | | | (City) | (State) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Matthew Fludgate | 646-562-1824<br>Matthew.Fludgate@cowen.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | KPMG LLP | (Name - if individual, state last, first, and middle name) | | | | | | New York | NY | 10154 | | | 345 Park Avenue<br>(Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | | 185 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | \* 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 ex…Read the full text as markdown