Full text of TRADITION SECURITIES AND DERIVATIVES LLC's X-17A-5 filed 2021-03-12 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### S TATEMENT OF F INANCIAL C ONDITION Tradition Securities and Derivatives, Inc. (A Wholly Owned Subsidiary of Tradition America Holdings, Inc.) December 31, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: 0DUPCFS Estimated average burden **8-** SEC FILE NUMBER 43559 # hours per response.. . . . . 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **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______________________________ | 01/01/20 | | 12/31/20<br>AND ENDING______________________________ | | |------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------|------------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. | REGISTRANT IDENTIFICATION | | | | | Tradition<br>NAME OF BROKER-DEALER: | Securities<br>and | Derivatives<br>Inc | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 32<br>Old<br>Slip-<br>28th<br>Floor<br>___________________________________________________________________________________________________________________ | | | | | | | (No. and Street) | | | | | New<br>York<br>___________________________________________________________________________________________ | NY | | 10005<br>__________________________ | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | _____________________________________________________________________________________________________________________<br>Judith A. Ricciardi | | | (212) 791-6650 | | | | | | (Area Code – Telephone Number) | | | B. | ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Ernst<br>&<br>Young<br>LLP | | | | | | _____________________________________________________________________________________________________________________ | (Name – if individual, state last, first, middle name) | | | | | 5<br>…Read the full text as markdown