Full text of PLACE TRADE FINANCIAL, INC.'s X-17A-5 filed 2022-09-30 (period 2022-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | | |-----------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------------------------------------------|--|--|--| | | SECURmES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123<br>Expires; Oct. 31, 2023 | | | | | PUBLIC | Washington, D.C. 20549 | | Estimated average burden | | | | | | | | hours per response: 12 | | | | | | ANNUAL REPORTS | | SEC ALE NUMBER | | | | | | FORM X-17A-5 | | | | | | | | PART Ill | | | | | | | | | | | | | | | FACING PAGE | | | | | | | | Information Required Pursuant to Rules 17a-s, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | AND ENDING 06/30/2022<br>FILING FOR THE PERIOD BEGINNING 07/01/2021 | | | | | | | | MM/00/YY<br>MM/DD/VY | | | | | | | | A. REGISTRANT IDENTIRCATION | | | | | | | | | | | | | | | | NAMEOFFIRM: Place Trade Financial, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | i!!I Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant | | | | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PIACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 6501 New Market Way | | | | | | | | | (No. and Street) | | | | | | | Raleigh | NC | | 27615 | | | | | (Oty} | (State) | | (Zip Code} | | | | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Sarah M. Place | (919)719-7200 | | sarah@placetrade.com | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | | (Name-if individual, state last, first, and middle name) | | | | | | | | 100 E SYBELIA AVE, SUITE 130 MAITLAND | FL | 32751 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | JULY 29, 2004 | | 1839 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFIOAL USE ONLY | | | | | | | | | | | |…Read the full text as markdown