Full text of APTO PARTNERS, LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ''PUBLIG'' UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 | oMB Number:3235-0123 | | |--------------------------|--| | Expires: Oct 3I,2023 | | | Estimated average burden | | | hours per response: 12 | | # ANNUAL REPORTS FORM X.17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-68746 | | FACING PAGE Information Required Pursuant to Rules L7a-5, t7a-L2, and 18a'7 under the Securities Exchange Act of 1934 | | 01101121 | AND ENDTNG | 12131121 | | |---------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------|------------|------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTI FICATION | | | | | NAME OF FIRM: | APTO PARTNERS, LLC | | | | | TYPE OF REGISTRANT (check allapplicable boxes):<br>E Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer<br>! | [l Security-based swap dealer | | [l Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PACE OF BUSINESS: (Do not use a P,O. box no.) | | | | | | 5 Cold Hill Road South, Suite 11 | | | | | | (No. and Street) | | | | | Mendham | NJ | | 07945 | | | (city) | (state) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Juan Espinosa | 973-543-6600 | | info@aptopartners, com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | | | | | B. ACCOUNTANT I DENTI FICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>JVA Accountants & Advisors | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 15 Broadway | Denville | NJ | | | | (Address) | (city) | (State) | 07834<br>(zip Code)<br>52BB | | | 10119110<br>tion with PCAOB<br>(Date of | FOR OFFICIAL USE ONLY | (PCAOB | stration Number | | accountantmustbesupportedbyastatementoffactsandcircumstancesreliedonasthebasisoftheexemption' See17 CFR 240. 17a-5(eXlXii),f applicable. persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays acurrently valid OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION | | JUAN D ESPINOSA | swear (or affirm) that, to the best of<br…Read the full text as markdown