Full text of PLACE TRADE FINANCIAL, INC.'s X-17A-5 filed 2023-10-13 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | 0MB APPROVAL | | | | | | |--------------------------------------------------------------------------------------------------------------------------|------------------------------|-------------------------------------------------------------------------------------------------|----------------------------------------------------|------------------------------------------|--|--|--|--|--| | | | SECURITIES AND EXCHANGE COMMISSION | | | | | | | | | PUBLIC | | Washington, D.C. 20549 | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | | | | hours per response:<br>12 | | | | | | | | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | | | | | FORM X-17A-S | | | | | | | | | PART Ill | | | | | | | | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | | | | | | | | | | | | | | FILING FOR THE PERIOD BEGINNING _0_7_/0_1 /_2_0_2_2_AND ENDING _0_6_/3_0_/_2_0_2_3_<br>MM/DD/VY | | MM/00/YY | | | | | | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION<br>_______ | | | | | | | | | | | NAME oF FIRM: _P_la_c_e_T_r_a_d_e_F_i_n_a_n_c_ia_l_, _ln_c_. | | | | _ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | | | ~ Broker-dealer | D Security-based swap dealer | | | D Major security-based swap participant | | | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | | | | | | | | | | | | 6501 New Market Way | | | | | | | | | | | (No. and Street) | | | | | | | | | | Raleigh | NC | | 27615 | | | | | | | (City) | | (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 SYBELIAAVE, SUITE 130 MAITLAND | | | | FL<br>32751 | | | | | | | (Address) | | (City) | | (State)<br>(Zip Code) | | | | | | | JULY 28, 2004 | | | 1839 | | | | | | | | T…Read the full text as markdown