Full text of CASTLEOAK SECURITIES, LP's X-17A-5 filed 2022-03-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ F I N A N C I A L S T A T E M E N T CastleOak Securities, L.P. Year Ended December 31, 2021 With Report of Independent Registered Public Accounting Firm (SEC ID No. 8-65786) {1}------------------------------------------------ **Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART III** #### *FACING PAGE* | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |-----------------------------------------------------------------------------------------------------------|----------------|----------| | 01/01/21<br>FILING FOR THE PERIOD<br>BEGINNING | AND ENDING | 12/31/21 | | MM/DD/YY | | MM/DD/YY | | A.<br>REGISTRANT | IDENTIFICATION | | | NAME OF FIRM: CastleOak Securities, L.P. | | | 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.) | | 200 Vesey Street | | | | | | |----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------|------------|--|--|--| | | (No. and Street) | | | | | | | New York | New York | | | | | | | (City) | (State) | 10281<br>(Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Luis J.<br>Gomez | (212) 610-6228 | lgomez@castleoaklp.com | | | | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | | | | B.<br>ACCOUNTANT<br>IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Citrin Cooperman& Company, LLP<br>(Name – if individual, state last, first, and middle name) | | | | | | | 50 Rockefeller Plaza<br>New York<br>NY | | 10020 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 11/02/2005 | 2468 | | | | | | (Date of Registration withPCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) **FOR OFFICIAL USE ONLY** {2}------------------------------------------------ \* Claims 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)(1…Read the full text as markdown