Full text of THREE OCEAN SECURITIES 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** OMB APPROVAL **STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | OMB Number: 3235-0123 | | | |---------------------------|--|--| | 31,2023<br>Expires:Oct. | | | | Estimated average burden | | | | hours per response:<br>12 | | | # **ANNUAL REPORTS FORM X-17A-5 PART lit** | SEC FILE NUMBER | | |-----------------|--| | 8-69203 | | **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** <sup>01</sup>/01/2021 12/31/2021 FILING FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Three Ocean Securities LLC TYPE OF REGISTRANT (check all applicable boxes): Kl 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 <sup>a</sup> P.O. box no.) 551 Fifth Avenue, Suite 3800 (No. and Street) New York NY 10176 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING David W. Knowlton 212-259-0559 dknowlton@threeoceanpartners.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Raines and Fischer LLP (Name -if individual, state last, first, and middle name) 555 Fifth Avenue. 9th Floor New York NY 10017 (Address) 11/05/2009 (City) (State) 3760 (Zip Code) (Date of Registration with PCAQB)(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 <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-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 <sup>a</sup> currently valid OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** #### David W. Knowlton **1**/ financial report pertaining to the firm of , swear (or affirm) that, to the best of my knowledge and belief, the , as of / <sup>2</sup> 021\_# js true and correct. <sup>I</sup> further swear (or affirm) that neither the company nor any partner, officer, director, or equiv…Read the full text as markdown