Full text of OTA LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-43168 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** **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 BEGINNING 01f01/20 | | AND ENDING 12/31/20 | ----------- | |-----------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------|--------------------------------| | | MMIDDNY | | MM!DDNY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: OTA LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.D. NO. | | ONE MANHATTANVILLE ROAD | | | | | PURCHASE | (No. and Street)<br>NY | 10577 | | | (City) | (State) | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>JAMES W. SANTOR!, CHIEF FINANCIAL OFFICER | | 914-460-4007 | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>WITHUM SMITH+BROWN | (Name - if individual, state last, first, middle name) | | | | 200 JEFFERSON PARK | WHIPPANY | NJ | 07981 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | ✓ I<br>Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *must be supported by a statement of facts 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 unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>_O_T_A_L_L_C | , swear (or affirm) that, to the best of<br>________________________________________ , as | |-------------…Read the full text as markdown