Full text of Robinhood Securities, 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # PART III SEC FILE NUMBER 8-69916 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 NAME OF FIRM: Robinhood Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | | Security-based swap dealer | | Major 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.) 500 Colonial Center Parkway, Suite 100 | | | (No. and Street) | | | | |-----------------------------------------------------------------------------|--|---------------------------------------------------------------------------|-----------------------------|--------------------------------------------|--| | Lake Mary | | ւ | | 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 | | | | | IN DEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | Ernst and Young LLP | | | | | | | | | (Name - if individual, state last, first, and middle name)<br>Los Angeles | CA | 90017 | | | 725 S Figueroa Street<br>(Address) | | (City) | (State) | (Zip Code) | | | 10/20/2003 | | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | \* 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. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Daniel Kelati | swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------…Read the full text as markdown