Full text of WATERMILL INSTITUTIONAL TRADING LLC's X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 #### ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill | | OMB APPROVAL | |-------------|---------------------------| | OMB Number: | | | | Expires: August 31, 2020 | | | Estimated average burden | | | hours per resPOnse 12.00 | | | SEC FILE NUMBER | | | 8. 68311 | #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule I 7a-5 Thereunder | 01/01/2019 | AND ENDING | 12/31/2019<br>~~~~~~~~~~- | | |---------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | MM/DD /Y Y Y Y | | MM/DDIYYYY | | | | | | | | | | | | | NAME OF BROKER-DEALER:<br>WATERMILL INSTITUTIONAL TRADING LLC | | | | | | | | | | | | | | | (No. and Streel) | | | | | NJ | | 07310 | | | {~tale) | | <Zip Code) | | | | | 917-621-3829<br>{Arca Code- Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | LIVINGSTON | NJ | 07039 | | | (City) | (Scace) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | 290 WEST MOUNT PLEASANT AVE, SUITE 3310<br>0 Accountant not resident in United States or any of its possessiom | --~~~~-----~~~~~<br>A. REGISTRANT IDENTIFICATION<br>111 TOWN SQUARE PLACE SUITE 1520<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>B. ACCOUNT ANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report•<br>(Name - if individual. slate la.<t, fir.If. middle name)<br>FOR OFFICIAL USE ONLY | | ~/aims *for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis/or the exemption. See section 240.* / *7a-5(e){2).* > Potential persons who are to respond to the collection of lnfonnation contained in this fonn are not required to respond unless the fonn displays a currently valid OMB control number. SEC 1410 (06·02) {…Read the full text as markdown