Full text of TRADITION SECURITIES AND DERIVATIVES LLC's X-17A-5 filed 2022-03-17 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### STATEMENT O F FINANCIAL CONDITION Tradition Securities and Derivatives LLC (A Wholly Owned Subsidiary of Tradition America Holdings, Inc.) December 31, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER **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 _____________________ AND ENDING ______________________ | <br>MM/DD/YY | | <br>MM/DD/YY | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: _______________________________________________________________________ | 7UDGLWLRQ6HFXULWLHVDQG'HULYDWLYHV//& | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>;<br>܆<br>Broker-dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ܆ | Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 2OG6OLSWK)ORRU<br>_____________________________________________________________________________________ | | | | | | (No. and Street) | | | | 1HZ<RUN<br>_____________________________________________________________________________________ | 1< | | | | (City) | | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | -XGLWK\$5LFFLDUGL<br>_____________________________________________________________________________________ | | | -XG\5LFFLDUGL#7UDGLWLRQFRP | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(UQVW <RXQJ//3<br>_____________________________________________________________________________________ | | | | | | (Name – if individual, state last, first, and middle name) | | | | 2QH0DQKDWWDQ:HVW<br>______________________________________…Read the full text as markdown