Full text of THREE OCEAN SECURITIES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCIIANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response 12.00 3235-0123 October 31,2023 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | 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 17<sup>a</sup>-5 Thereunder** | | REPORT FOR THE PERIOD BEGINNING 01/01/2020<br>MM/DD/YY | AND ENDING 12/31/2020 | MM/DD/YY | | |-------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------|-----------------------|--------------------------------|--| | | A. REGISTRANT<br>IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Three | Ocean<br>Securities | LLC | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | Fifth<br>Avpnue<br>551 | Suite*<br>, | | | | | New<br>York<br>' | o and Street)<br>*<br>f<br>•<br>*<br>NY | 10176 | | | | | (State) | (Zip Code) | | | | David W. Knowlton | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 212-259-0559 | | | | B.<br>ACCOUNTANT IDENTIFICATION | | (Area Code - Telephone Number) | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Raines<br>and | Fischer<br>LLP | | | | | | (Name -if individual, slate last, first, middle name ) | | | | | Fifth<br>555 | Avenue<br>York<br>9th<br>Floor<br>New<br>, | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | / | Certified Public Accountant | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *Claims for exemption from ihe requirement that the annual report he covered by the opinion of an independent | | public accountant | | *must be supported by <sup>a</sup> statement offacts and circumstances relied on as the basis for the exemption. See Section 240.17<sup>a</sup>-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond** SEC **unless theform displays <sup>a</sup> currently valid OMB controlnumber.** <sup>1410</sup> (11-05) {1}-------------…Read the full text as markdown