Full text of Robinhood Financial, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | | # ANNUAL REPORTS FORM X-17A-5 PART III | Expires: Oct. 31, 2023 | | |---------------------------|--| | Estimated average burden | | | hours per response:<br>12 | | | | | | SEC FILE NUMBER | | | 8-69188 | | (PCAOB Registration Number, if applicable) OMB APPROVAL OMB Number: 3235-0123 FACING PAGE | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------|------------| | FILING FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING 12/31/2022 | | | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | Robinhood Financial LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 500 Colonial Center Parkway, Suite 100 | | | | | | (No. and Street) | | | | Lake Mary | F | | 32746 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Daniel Kelati | 650-613-0850 | daniel.kelati@robinhood.com | | | Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>Ernst and Young LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 725 S Figueroa Street Los Angeles | | CA | 90017 | | Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 42 | | {Date of Registration with PCAOB)(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…Read the full text as markdown