Full text of PLACE TRADE FINANCIAL, INC.'s X-17A-5/A filed 2023-11-08 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | PUBLIC | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|--------------------------------------------------------------------------------------------------|-------------------|--------------------------------------------------------------------------------------------------------------------------|--|--|--|--|--| | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | | | FORM. ~--~ZA-~. | | | | | | | | | | | PART 111 •:,-:.'.• .,;;: ·'<br>•<br>:-.J:.! }r:! | _";·•.~,:/ | | | | | | | | | | l•.-~ .,._. ·<br>FAClN~ P~Gf • :' •• ,, •• -~ •• • | , , • • •<br>~. : | | | | | | | | Information Required Pursuant to Rules 17a-S, 17a~:it ~nd~ii~~i'urid~f'i11;·~~c:u~iiiJ 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/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | _______<br>_<br>NAME oF FIRM: _P_la_c_e_T_ra_d_e_F_i_n_an_ci_a_l ,_l_n_c_. | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>i!!I Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>□ 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 | | sarah@placetrade.com | | | | | | | | | (Name) | | 919-719-7200<br>(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 MAIT…Read the full text as markdown