Full text of APTO PARTNERS, LLC's X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## "PUBLTC'' UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 > ANNUAL REPORTS FORM X-17A-5 PART III OMB Number:3235-0123 Expires: Oct. 31,2023 Estimated average burden hours per response: l2 # SEC FILE NUMBER 8-68746 FACING PAGE fnformation Required Pursuant to Rules L7a-5,L7a-L2, and 18a-7 under the Securities Exchange Act of 1934 | FILING FoR rHE pERroD BEGTNNtNG 01101122 | | AND ENDTNG | 12131t22 | |------------------------------------------|----------|------------|----------| | | MM/DD/YY | | MM/DD/YY | A. REGISTRANT I DENTIFICATION # NAME OF FIRM: APTO PARTNERS, LLC TYPE OF REGISTRANT (check all applicable boxes): E Broker-dealer I Security-based swap dealer n Vajor 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.) | | 5 Cold Hill Road South, Suite 1 1 | | | | |----------------------------------------------|---------------------------------------------------------------------------------------------------------|-----------------------|------------|--| | | (No. and Street) | | | | | Mendham | NJ | | 07945 | | | (city) | | | (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 DENTIFICATION | | | | | | 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 | 07834 | | | (Address) | | (state) | (zip Code) | | | 10t19t10 | | 5288 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountantmustbesupportedbyastatementoffactsandcircumstancesreliedonasthebasisoftheexemption. See17 CFR 240.17a-5(eXlXii), 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. {1}------------------------------------------------ #### OATH OR AFFIRMATION | | JUAN D. ESPINOSA | | | | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------|------------------------------------|-----…Read the full text as markdown