Full text of THE VERTICAL TRADING GROUP, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | SEC FILE NUMBER | | |-----------------|--| | 8-52814 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |-----------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------|----------------------------------------------| | | | AND ENDING 12/31 /22 | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /22 | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: The Vertical Trading Group, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>0 Check here If respondent is also an OTC derivatives dealer | Security-based swap dealer | Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 56 Locust Ave, 2nd FL | | | | | | (No. and Street) | | | | Rye | NY | | 10580 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Thomas D. Martin | (212) 430-3552 | | TOM@VERTGRP .COM | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>G.R. Reid Associates, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 7600 Jericho Turnpike #400 | Woodbury | NY | 11797 | | (Address) | (City) | (State) | (Zip Code) | | 07/01/13 | | 5861 | | | l''<br>of Registrntloa with PCAOB}(lf applicable] | | | (PCAOB Reglstrntlon N,mbec, If appllcableJ I | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | 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)(1i), 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 0MB control number.** {1}--------------------------------------…Read the full text as markdown