Full text of WATERMILL INSTITUTIONAL TRADING LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). 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 | | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | SEC FILE NUMBER | |-----------|-----------------| | 8 - 68311 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | MMDD/YYYYY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YYYYY | | |-------------------------------------------------------------------|-------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | | | | | WATERMILL INSTITUTIONAL TRADING LLC | | | | | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | (No and Street) | | | | | NJ | | 07310 | | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | 917-621-3829 | | dd@watermilltrading.com | | | (Area Cade -- Telephone No.) | (Email Address) | | | | | | | | | | | | | | | | | | | | | | | | LIVINGSTON | NI | 07039 | | | (City) | (State) | (Zip Code) | | | | | 2468 | | | | | (PCAOB Registration Number, if applicable) | | | | | | | | | | X Broker-dealer<br>111 TOWN SQUARE PLACE SUITE 1520<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>CITRIN COOPERMAN & COMPANY, LLP<br>(Name - if individual, state last, first, and middle name)<br>FOR OFFICIAL USE ONLY | | \*Claims for exemption from the requirement that the annual reports of an independent public eccommiss 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 required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | David J. Dempsey sweat (or affirm) that, to the best of my…Read the full text as markdown