Full text of WATERMILL INSTITUTIONAL TRADING LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: November 30, 2026 Estimated average burden hours per response ... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | 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** REPORT FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING MM/DDNYYY **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 □ 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** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 12/31/2023 MM/DDNYYY **07310** (Zip Code) **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 180 PARK AVENUE, SUITE 200** (Name- if individual, state last, first, and middle name) **FLORHAM PARK NJ 07932** (Address) (City) (State) (Zip Code) **11/02/2005 2468** (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **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.l 7a-5(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}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to<br>David J. Dempsey | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------…Read the full text as markdown