Full text of CASTLEOAK SECURITIES, LP's X-17A-5 filed 2023-03-20 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  **FINANCIAL STATEMENT** CastleOak Securities, L.P. December 31 , 2022 With Report oflndependent Registered Public Accounting Firm (SEC ID No. 8-65786) {1}------------------------------------------------ **Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** #### FACING PAGE FILING FOR THE PERIOD BEGINNlf'JG **O 1/01 /22** AND ENDING **12/3 1/22** MM/DD/VY MM/DD/VY *A.* REGISTRANT /DENT/FICA TION 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<br>10281 | | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Luis J.<br>(212) 610-6228 | | | lgomez@castleoaklp.com | | | | Gomez | | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | 8. ACCOUNTANT /DENT/FICA TION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Citrin Cooperman & Company, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 50 Rockefeller Plaza | New York | NY | 10020 | | | | (Address) | (City) | (State) | (Zip Code) | | | 11/02/2005 2468 (Date of Registration with PCAOB)(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-S(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.** {3}------------------------------------------------ #### **AFFIRMATION** **I, David R. Jones,** swear (or affirm) that, to the best of my knowledge and belief, t…Read the full text as markdown