Full text of THREE OCEAN SECURITIES LLC's X-17A-5 filed 2019-02-25 (period 2018-12-31). 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-17A-5 PART Ill** | 3235-0123 | |---------------------------| | August 31, 2020 | | Estimated average burden | | hours per response 12.00 | | | 0MB APPROVAL | SEC FILE NUMBER | |-----------------| | B-69203 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | -----------<br>REPORT FOR THE PERIOD BEGINNING 01/01/2018<br>AND ENDING 12/31/2018 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | M M /0 D / Y Y | | MM/DD/YY | | | | | | NAME oF BROKER-DEALER: Three Ocean Securities LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>551 Fifth Avenue, STE 3800 | | OFFICIAL USE ONLY | | | | FIRM 1.0. NO. | | (No. and Street) | | | | NY | | 10176 | | (State) | | (Zip Code) | | | | 281-367-2454<br>(Area Code - Telephone Number) | | | | | | | | | | | | | | | | | | New York | NY | 10017 | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT 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, state last. first. middle name)<br>Accountant not resident in United States or any of its possessions. | *\*Claims 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 for the exemption. See Section 240. I 7a-5(e)(2)* > Potential 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…Read the full text as markdown