FOCUS Report Dough Llc

X-17A-5 - FOCUS Report

Filed: 2017-02-28 14:41:47
Dated: 2017-02-28
Period of Report: 2016-12-31
primary_doc.html


X-17A-5: Filer Information

X-17A-5: Submission Information

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
141 WEST JACKSON BLVD. SUITE 500
City
CHICAGO
State/Country
ILLINOIS
Mailing Zip/ Portal Code
60604

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Agnes Krupa
Telephone Number
3124448691

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

I, Agnes Krupa, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of PEAK6 MARKETS LLC, as of 12-31-2016, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Notary Public

P6MPublic.pdf


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                                                      UNITEDSTATES                                                         OMB APPROVAL
                                          SECURITIES ANDEXCHANGE COMMISSION                                         OMB Number:      3235—0123
                                                  Washington, D.C. 20549                                            Expires:       May 31, 2017
                                                                                                                    Estimated average burden
                                           ANNUAL AUDITED REPORT                                                    hours per response.. ... . 12.00

                                                      FO ':’“AAR)_(; 1| I7IA-5                                                   SEC FILE NUMBER
                                                                                                                                 s—67992
                                                          FACING PAGE
                  Information Required of Brokers and Dealers Pursuant to Section 17 of the
                            Securities Exchange Act of 1934 and Rule 17a—5 Thereunder

REPORT FOR THE PERIOD BEGINNINGO 1101/2016                                              AND ENDING 12/31/2016
                                                                 MM/DD/YY                                                  MM/DD/YY


                                        A. REGISTRANT IDENTIFICATION

NAME OF BROKER—DEALER: PEAKG6 Markets LLC                                                                                OFFICIAL USE ONLY
ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)                                                                FIRM 1.D. NO.
141 West Jackson Blvd., Suite 500
                                                             (No. and Street)

                        Chicago                                       Illinois                                      60604
                       (City)                                         (State)                                       (Zip Code)

NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT
Agnes Krupa                                                                                                               (312) 444—8691
                                                                                                                     (Area Code — Telephone Number)

                                       B. ACCOUNTANT IDENTIFICATION

INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*

Ernst & Young LLP
                                                 (Name — if individual, state last, first, middle name)

      155 N. Wacker Drive                               Chicago                                           Illinois                   60606
      (Address)                                         (City)                                            (State)                    (Zip Code)


CHECK ONE:

         Certified Public Accountant
                  Public Accountant

                  Accountant not resident in United States or any of its possessions.

                                                  FOR OFFICIAL USE ONLY




*Claims for exemption from the requirement that the annual report be covered by the opinion ofan independent public accountant
must be supported by a statement offacts and circumstances relied on as the basis for the exemption. See Section 240.17a—5(e)(2)



                                  Potential persons who are to respond to the collection of
                                  information contained in this form are not required to respond
   SEC 1410 (06—02)               unless the form displays a currently valid OMB control number.


                                                         OATH OR AFFIRMATION

 1, Agnes Krupa                                                                                           , swear (or affirm) that, to the best of
 my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of
 PEAK6 Markets LLC                                                                                                     , as
 of December 31                                       , 20 16     , are true and correct. I further swear (or affirm) that
 neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account
 classified solely as that of a customer, except as follows:




                           OFFICIAL SEAL                                                      fl\-\           ><
                          PHILIP 8.GRIGUS                                                       Uigh@yre
                   Notary Public — State of HHlinois
                My Commission Expires Jan 14, 2019                            Director of Finance of PEAK6 Capital Management LLC

                                                                                                            Title
                           &                &
                         Notary Pu

  This report ** contains (check all applicable boxes):
      (a) Facing Page.
OO{MMOMMMMEK




      (b) Statement of Financial Condition.
      (c) Statement of Income (Loss).
      (d) Statement of Changes in Financial Condition.
      (e) Statement of Changes in Stockholders‘ Equity or Partners‘ or Sole Proprietors‘ Capital.
      (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors.
      (g) Computation of Net Capital.
               (b) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3—3.
               (i) Information Relating to the Possession or Control Requirements Under Rule 15¢c3—3.
               (J) A Reconciliation, including appropriate explanation of the Computation of Net Capital Under Rule 15c3—1 and the
                   Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15¢c3—3.
               (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of
0




                   consolidation.
omkM®




               (1) An Oath or Affirmation.
               (m) A copy of the SIPC Supplemental Report.
               (n) A report describing any material inadequacies found to exist or found to have existed since the date ofthe previous audit.

   **For conditions of confidential treatment of certain portions of this filing, see section 240.17a—5(e)(3).


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Document Created: 2017-02-28 13:35:07
Document Modified: 2017-02-28 13:35:07
Additional Files
FileSequenceDescriptionTypeSize
0001443255-17-000003.txt   Complete submission text file   3075566
primary_doc.xml 1 X-17A-5 2216

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