Full text of PTI SECURITIES & FUTURES L.P.'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}------------------------------------------------ #### FINANCIAL STATEMENTS AND SUPPLEMENTAL SCHEDULES PURSUANT TO SEC RULE 17a-5(d) AND REGULATION 1.10 UNDER THE COMMODITY EXCHANGE ACT December 31, 2021 CONFIDENTIAL {1}------------------------------------------------ lnformation Required Pursuant to Rules L7a-5, L7a-L2, and 18a-7 under the Securities Exchange Act of 1934 FTLTNG FoR rHE pERroD BEGTNNTNG 01101121 AND ENDTNG <sup>12131121</sup> UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 3L,2023 Estimated average burden hours per response: <sup>12</sup> SEC FILE NUMBER 8-44412 M M/DD/YY MM/DD/YY A. REGISTRANT IDENTI FICATION NAMEoFFTRM: PTI Securities & Futures L.P. and Subsidiary TYPE OF REGISTRANT (check all applicable boxes): E Broker-dealer n Security-based swap dealer E Vtajor security-based swap participant E Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 41 1 South Wells Street Suite 900 60607 (city) (state) r (Zip code) PERSON TO CONTACT WITH REGARD TO THIS FILING Daniel J. Haugh 312-663-3052 dan@ptisecurities.com (Name) (Area Code - Telephone Number) (Email Address) Chicago (No.and Street) IL B. ACCOUNTANT IDENTI FICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports ard contained in this filing\* Ryan & Juraska LLP - Certified Public Accountants (Name - if individual, state last, first, and middle name) <sup>141</sup>\Nest Jackson Chicago lL <sup>60604</sup> (Add ress) 312412009 (City) (state) (Zip code) 3407 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountantmustbesupportedbyastatementoffactsandcircumstancesreliedonasthebasisoftheexemption. See17 CFR 240.17a-5(e}(lXii), 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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION l, Daiel J Haugh , swear (or affirm) that, to the best of my knowledge and belief, the report pertaining to the firm of PTI Securities & Futures L.P. and Subsidiary as of > NOTARY PUBLIC . STATE OF ILLINOIS MY COMMISSTON EXP|RES…Read the full text as markdown