Full text of WATERMILL INSTITUTIONAL TRADING LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | OMB APPROVAL | | |---------------------------|--------------|-----------------| | OMB Number: | | 3235-0123 | | Expires: October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | | | 8 - 68311 | | | | | | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | |--------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------|--------------------------------------------| | | MM/DD/YYYY | | MM/DD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | | WATERMILL INSTITUTIONAL TRADING LLC | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | X Broker-dealer [ Security-based swap dealer Major security-based swap participant | | | | | C Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 111 TOWN SQUARE PLACE SUITE 1520 | | | | | (No. and Street) | | | | JERSEY CITY | NJ | | 07310 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>David J. Dempsey | 917-621-3829 | dd@watermilltrading.com | | | (Name) | (Area Code -- Telephone No.) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | CITRIN COOPERMAN & COMPANY, LLP | | | | | (Name - if individual, state last, first, and middle name) | | | | 290 WEST MOUNT PLEASANT AVE, SUITE 3310 | LIVINGSTON | NJ | 07039 | | (Address) | (City): | (State) | (Zip Code) | | 11/02/2005 | | | 2468 | | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | (Date of Registration with PC AOB)(if applicable) | | | | \*Clains 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not require…Read the full text as markdown