Full text of TFS DERIVATIVES LLC's X-17A-5 filed 2023-02-22 (period 2022-12-31). 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, 2022 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31. 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-44903 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2022 FILING FOR THE PERIOD BEGINNING 01/01/22 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: TFS Derivatives LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer [ Security-based swap dealer \_ \_ | Major security-based swap participant 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 NY 10005 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING (212) 791 - 6650 Judith A. Ricciardi Judy.Ricciardi@Tradition.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing \* UHY LLP (Name - if individual, state last, first, and middle name) 1185 Avenue of the Americas, 38 Floor New York NY 10038-2603 (Address) (City) (State) (Zip Code) 7/1/2004 1195 (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 of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e){1)(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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Judith A. Ricclardi , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of TFS Derivatives LLC as of 12/31 , 2 022\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_…Read the full text as markdown