Full text of TFS DERIVATIVES LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). 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, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | # **ANNUAL REPORTS FORM X-17A-5** **PART** Ill | 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 __ | _____<br>O_IIO_l_lZ_l | AND ENDING | ___<br>1_ | ___<br>21_3_11_21<br>_ | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------------------------|------------------------------|------------------------------------------|--| | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | ____<br>NAME OF FIRM:<br>T_F_S_D_e_ri_v_at_iv_e_s_L_L_C | | ___________________ | | _ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>l:xJ Broker-deafer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 32 Old Slip- 28th Floor | | | | | | | | (No. and Street) | | | | | | New York | NY | | | 10005 | | | (City)<br>(State) | | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Judith A. Ricciardi | {212) 791-6650 | | Judy.Ricciardi@Tradition.com | | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>UHY LLP | | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | | 1185 Avenue of the Americas-<br>38th Floor | New York | | NY | 10038-2603 | | | (Address) | (City) | | (State) | (Zip Code) | | | 7/1/2004 | | | | | | | l"<br>of Reglmatloo with PCAOB)(;f applicable) | | | | (PCAOB R,g;matioo N•mbe,, ;…Read the full text as markdown