Full text of PLACE TRADE FINANCIAL, INC.'s X-17A-5 filed 2024-10-01 (period 2024-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC UNITED **STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. **20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FILE NUMBER | | |--|-----------------|--| | | FACING PAGE | | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|----------------------------------------------| | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | __ | | FILING FOR THE PERIOD BEGINNING | 07/01/2023<br>MM/DD/VY | AND ENDING _0_6_/3_0_/_2_0_24<br>MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | NAME oF FIRM: _P_l_a_c_e_T_r_a_d_e_F_in_a_n_c_ia_l_, _ln_c_. | | ________<br>_ | | TYPE OF REGISTRANT {check all applicable boxes):<br>[!] Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | 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 SYBELIAAVENUE, SUITE 130 MAITLAND | | 32751<br>FL | | (Address) | (City) | (Zip Code)<br>(State) | | JULY 28, 2004 | | 1839 | | (rte of Registration with PCAOB)(lf applicable) | | (PCAOB Registration Number, if applicable) I | | | FOR OFFICIAL USE ONLY | | \* 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. {1…Read the full text as markdown