Full text of TRADITION SECURITIES AND DERIVATIVES LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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 LLC (A Wholly Owned Subsidiary of Tradition America Holdings, Inc.) Year Ended December 31, 2023 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-43559 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01 /23** MM/DD/YY 1'2131/23 AND ENDING \_\_\_\_\_\_\_\_ \_ MM/ DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Tradition Securities and Derivatives LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 32 Old Slip - 28th Floor (No. and Street) New York New York 10005 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING John Gangi 212-791-6035 John.Gangi@Tradition.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* KPMG LLP (Name - if individual, state last, first, and middle name) 345 Park Avenue New York **NY** 10154 (Address) (City) (State) (Zip Code) 10/20/2003 185 **FOR OFFICIAL USE ONLY** [PCAOB Reg;ma,;oo Nombec, ;f a ppUcable) I • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of fact s and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. 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. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, John Gangi | | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown