Full text of TD SECURITIES AUTOMATED TRADING LLC's X-17A-5 filed 2023-12-22 (period 2023-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  ## TD Securities Automated Trading LLC # Statement of Financial Condition With Report of Independent Registered Public Accounting Firm October 31, 2023 {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-68677 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 \_ AND ENDING 10/31/2023 Filing for the period beginning 11/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION TD Securities Automated Trading LLC NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): ത് Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 71 S. Wacker Drive, Suite 2940 (No. and Street) -60606 Chicago (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Richard Rosenthal 212-827-6840 richard.rosenthal@tdsecurities.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst & Young LLP (Name – if individual, state last, first, and middle name) One Manhattan West New York NY 10001 (Address) (City) (State) (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. 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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | | Richard Rosenthal | | | swear (or affirm) that, to the best of my knowledge and belief, the | | | | | |---|-------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|------------|---------------------------------…Read the full text as markdown