Full text of PLEXUS FINANCIAL SERVICES, LLC's X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | | |----------------------------|--|-----------------|--|--| | 0MB Number: | | 3235-0123 | | | | Expires: October 31 , 2023 | | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | SEC FILE NUMBER | | | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** # **8** - **68504** ## **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>01/01/2020<br>AND ENDING | | -------'--'-------<br>12/31/2020 | | | |----------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|------------------------------------------------|----------------------------------|--|--| | | MM/DD/YYYY | | MM/DD/YYYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: PLEXUS FINANCIAL SERVICES, LLC | | | | | | | | | OFFICIAL USE ONLY | | | | | | | FIRM ID. NO. | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 21805 Field Parkway, Suite 320 | | | | | | | | (No. and Street) | | | | | | Deer Park | IL | | 60010 | | | | (City) | (:State) | | (Zip Code) | | | | Peter Sinelnikov | B. ACCOUNT ANT IDENTIFICATION | (212)-751-4422<br>(Area Code -- Telephone No.) | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | Plante Moran, PLLC | | | | | | | | (Name -- if individual, stale las/, first, middle name) | | | | | | 10 S. Riverside Plaza | Chicago | IL | 60606 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE:<br>[!] Certified Public Accountant<br>D Public Accountant<br>D 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 of facts and circumstances relied on as the basis for the exemption. See section 240. 17a-5(e)(2).* > **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…Read the full text as markdown