Full text of APTO PARTNERS, LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | 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 | FIuNG FoR THE pERroD BEGINNtNG 01101123 | | AND ENDTNG | 12t31t23<br>MM/DD/YY | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------|----------------------|--|--|--|--| | | MM/DD/YY | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | APTO PARTNERS. LLC<br>NAME OF FIRM: | | | | | | | | | ryPE OF REGISTRANT (check all applicable boxes):<br>! Major security-based swap participant<br>E Broker-dealer X Security-based swap dealer<br>n Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | (No. and Street) | | | |---------------------------------------------------------------------------|------------------------------------------------------------------------|-----------------|---------------------| | Mendham | NJ | | 07945 | | (city) | (state) | | (zip code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Juan Espinosa | 973-543-6600<br>info@aptopartners, com | | | | | | | | | | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOU NTANT I DENTI FICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | JVA Accountants & Advisors | | | | 15 Broadway | (Name - if individual, state last, first, and middle name)<br>Denville | NJ | | | | (city) | (State) | 07834<br>(zip Code) | | (Address)<br>10119110 | | 5288 | | | | | | | 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<br>swear (or affirm) that, to the best<br>of my knowledge and belief, the | | | | | | |----|---------------------------------------------------…Read the full text as markdown