Full text of CASTLEOAK SECURITIES, LP's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Securities** # FI NANC I AL STA TE MEN T CastleOak Securities, L.P. December 31, 2020 With Report of Independent Registered Public Accounting Firm (SEC ID No. 8-65786) {1}------------------------------------------------ | | | | 0MB APPROVAL | |---------------------------------|----------------------------------------------------------------------------------------------------------------------------------------|-----------|------------------------------------------------------------------------------------------------------------| | | UNITED ST A TES<br>SECURJTlES AND EXCHANGE COMM]SSION<br>Washington, D.C. 20549 | | 0MB umber: 3235-0123<br>Expires: October 31, 2023<br>Estimated average burden<br>hours per response 12.00 | | | ANNUAL AUDITED REPORT<br>FORM X-17A-5<br>PARTJIJ | | SEC fil,E NUMBER<br>8-65786 | | | FACING PAGE | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchabge Act of 1934 abd Rule 17a-5 Tbeteubdet | | | | REPORT FOR THE PERIOD BEGfNNTNG | 01/01/20<br>MM/DDNY | ANDENDJNG | 12/31/20<br>MMIDDNY | | | A. REGISTRANT IDENTIFICATION | | | | NAME or BROKER -<br>DEALER: | | | | | CastleOak Securities, L.P. | | | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | 200 Vesey Street | | | | | | (No. and Street) | | | | New York | New York | | 10281 | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSO TO CONT ACT IN REGARD TO THIS REPORT | | | | Philip J. Ippolito | | | 212-829-4788 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT REGISTERED PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | Citrin Cooperman & Company, LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 529 Fifth A venue | New York | New York | 10017 | | (Address) | (City) | (State) | (Zip Code) | | | | | | | CHECKONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. l 7a-5(e)(2).* SEC 14 10 (06-02). {2}----…Read the full text as markdown