Full text of TFS DERIVATIVES LLC's X-17A-5 filed 2021-02-25 (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 TFS Derivatives LLC (A Wholly-Owned Subsidiary of Tradition America Holdings, Inc.) Year Ended December 31, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill 0MB APPROVAL 0MB Number: 3235-01 23 Expires: August 31, 2020 Estimated average burden hours oer resoonse ...... 12.00 | SEC FILE NUMBER | |-----------------| | 8· 44903 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | ------------<br>REPORT FOR THE PERIOD BEGINNING 01/01/20<br>AND ENDING 12/31/20 | | | | |------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------|---------------------------------------------------------------------|-------------------|-------------------------------| | | | MM/00/YY | | MM/0D/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER, TFS Derivatives LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 32 Old Slip-<br>28th floor | | | | | | | | (No. and Street) | | | | New York | | NY | | 10005 | | (City) | | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Judith A. Ricciardi | | | | (212) 79Hl650 | | | | | | (Area Code -Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>UHY LLP | | (Name - if individ11al, state last.firs/, middle name) | | | | | 1185 Avenue of the Americas- 38th Floor New York | | NY | 10036-2603 | | (Address) | | (City) | (Stute) | (Zip Code) | | CHECK ONE: | | | | | | I /I | certified Public Accountant | | | | | Public Accountant | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from !he requirement that the annual report be covered by the opinion of an independenl public acco11nlant must be supported by a statement ojfacts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)…Read the full text as markdown