Full text of PLEXUS FINANCIAL SERVICES, LLC's X-17A-5 filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------|----------------------------------------------------|--|--| | SECURITIES AND EXCHANGE COMMISSION | | | | 0MB APPROVAL | | | | | | | | 0MB Number: 3235-0123 | | | | Washington, D.C. 20549 | | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | hours per response: 12 | | | | | | ANNUAL REPORTS | | | | | | | FORM X-17A-S | | | | SEC FILE NUMBER | | | | PART Ill | | | | 8-68504 | | | | | | | | | | | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | ___ | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2021<br>MM/DD/YY | AND ENDI NG_--=1=2/-=3=1'--'/2=0=2=1 | _<br>MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Plexus Financial Services, LLC | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~Broker-dealer | | | | | | | | □ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | Major security-based swap participant | | | | | | | | | | | | | | 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) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Peter Sinelnikov | | 212-751-4422 | | PSinelnikov@dfppartners.com | | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | Plante & Moran, PLLC | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 10 S. Riverside Plaza | Chicago | | IL | 60606 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 10/20/2003 | | | | 166 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | * Claims for exemption from…Read the full text as markdown