Full text of PLACE TRADE FINANCIAL, INC.'s X-17A-5 filed 2021-09-29 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ / c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 QMB APPROVAL □MB Number. 3235-0123 Expires; October 31, 2023 Estimated average burden hours per response 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | | | | |-----------------|--|--|--|--| | 8-65915 | | | | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINING | JULY 1,2020 | AND ENDING | JUNE 30, 2021 | |----------------------------------------------------------------------------------------|--------------------------------------------------------|------------|-----------------------------| | | MM/DD/YY | | MM/DD/YY | | | A, REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | PLACE TRADE FINANCIAL, INC. | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 6501 NEW MARKET WAY | | | | | (No. and Street) | | | | RALEIGH | NC | | 27615 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>SARAH PLACE | | | 919-719-7200 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT DESIGNATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | OHAB AND COMPANY, PA | | | | | (Name - if individual, state last, first, middle name) | | | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND | | FLORIDA | 32751 | | (Address and City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | O 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 audit he covered by the opinion of an independent public accountant must be supported by a statement offacts and circumstances relied on as the basisfor the exemption. See section 240.17a-5(e) (2). > Potential persons who are to respond to the collection of information contained in this form are required to respond unless the form displays a current valid 0MB control number. SEC 1410(11-05) {1}------------------------------------------------ ## OATH OR AFFIRMATION | I, | SARAH PLACE | , swear (or affirm) that, to the | |--------------------------------------------------------------------------…Read the full text as markdown