Full text of THE VERTICAL TRADING GROUP, LLC's X-17A-5 filed 2024-04-04 (period 2023-12-31). 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 **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** MM/DD/YY AND ENDING **12/31/2023** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): D Broker-dealer D Security-based swap dealer D 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.) 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\* G.R. Reid Associates (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 **FOR OFFICIAL USE ONLY** \* Cla ims for exemption from the requirement that the annual reports be covered by the 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)(l)(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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Thomas D. Martin swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of TheVerticalTradingGroupLLC as of **12/31** 2~, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. | Signature: | (~<br>t), &<br>-.J1- | | |------------|----------------------|--| | | | | Title: CFO Notary Public #### **This filing\*\*…Read the full text as markdown