Full text of THREE OCEAN SECURITIES LLC's X-17A-5 filed 2023-02-13 (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: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>1 2 | | ## **ANNUAL REPORTS FORM X-17A-5 PART III** | 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** | FILING FOR THE PERIOD BEGINNING | 01/01/2022 | AND END NG | 12/31/2022 | | |------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------|-------------------------------------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | Three<br>Ocean<br>of<br>firm:<br>name | Securities<br>LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>XI Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | Major | participant<br>security-based swap | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not | | use a P.O. box no.) | | | | 551<br>Fifth<br>Suite<br>3800<br>Avenue, | | | | | | | (No and Street) | | | | | New<br>York | NY | | 10176 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Knowlton<br>David<br>W. | 212-259-0559 | | dknowlton@threeoceanpartners.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>Phillip<br>V.<br>George,<br>PLLC | | filing*<br>are contained in<br>this | | | | (Name -if | individual, state last, first, and middle name) | | | | | 5179<br>1026<br>CR | Celeste | TX | 75423 | | | (Address)<br>02/24/2009 | (City) | 3366 | (State)<br>(Zip Code) | | | (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 17a-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of informat…Read the full text as markdown