Full text of TRADITION SECURITIES AND DERIVATIVES LLC's X-17A-5/A filed 2024-04-22 (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}------------------------------------------------ | ANNUAL REPORTS<br>SEC FILE NUMBER<br>FORM X-17A-5<br>8-43559<br>PARTII<br>FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>AND ENDING 12/31/23<br>MM/DD/YY<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer<br>ا Major security-based swap participant<br>O Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>32 Old Slip - 28th Floor<br>(No. and Street)<br>New York<br>New York<br>10005<br>(State)<br>(Zip Code)<br>(City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>212-791-6035<br>John Gangi<br>(Area Code - Telephone Number)<br>(Name)<br>(Email Address)<br>B. ACCOUNTANT IDENTIFICATION | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------|--| | filing for the period beginning 01/01/23<br>NAME OF FIRM: Tradition Securities and Derivatives LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | John. Gangi@Tradition.com | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling *<br>KPMG LLP | | | | (Name - if individual, state last, first, and middle name) | | | | 345 Park Avenue<br>New York<br>10154<br>NY | | | | (Address…Read the full text as markdown