Full text of OTA LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | הרוחול חברו ופתוכיום ה<br>1 4 | | |-------------------------------|--| | | | | SEC FILE NUMBER | | | 8-43168 | | | 200 JEFFERSON PARK | WHIPPANY | NJ | 07981 | | |--------------------------------------------------|-----------------------|--------------------------------------------|------------|--| | (Address) | (City) | (State) | (Zip Code) | | | 10/8/2003 | | 100 | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAO8 Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | {1}------------------------------------------------ | James W. Santori | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | tinancial report pertaining to the firm of OTA LLC | . as of | | December 31 | , 2 021 | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | as that of a customer. | | | DENA M. GIRARD<br>BEOTESTY DI33230 Disto of Now Vora | | - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {3}------------------------------------------------ **Contents** | Report of Independent Registered Public Accounting Firm | | | |---------------------------------------------------------|------|--| | | | | | Financial Statements | | | | Statement of Financial Condition | 2 | | | Notes to Financial Statement | 3-11 | | **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_** {4}------------------------------------------------  ## **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Management, Members and Those Charged with Governance of OTA LLC: #### **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of OTA LLC (the "Company") as of December 31, 2021, and the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position…Read the full text as markdown