Full text of THREE OCEAN SECURITIES LLC's X-17A-5 filed 2024-01-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | |------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|-----------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | OMB Number:3235-0123<br>Expires:Nov. 30,<br>2026 | | | | Washington,<br>D.C. 20549 | | Estimated average burden<br>hours per response: | | | | | | | 12 | | | | ANNUAL<br>REPORTS | | SEC FILE NUMBER | | | | X-17A-5<br>FORM | | 8-69203 | | | | III<br>PART | | | | | | FACING PAGE | | | | | Information Required Pursuant to Rules 17a-5, | 17a-12, | | and 18a-7 under the Securities Exchange Act of 1934 | | | | 01/01/2023 | | 12/31/2023 | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | Three<br>Ocean<br>NAME OF FIRM: | Securities<br>LLC | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 | | | | | | Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Major<br>Security-based swap dealer | security-based | swap participant | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | (Do not use a P.O. box no.) | | | | | Fifth<br>Avenue,<br>551 | Suite<br>3800 | | | | | | (No. and<br>Street) | | | | | New<br>York | NY | | 10176 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | David<br>Knowlton<br>W. | 212-259-0559 | dknowlton@threeoceanpartners.com | | | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in | | this filing* | | | | Phillip<br>V.<br>George, | PLLC | | | | | (Name -if | first,and<br>individual,<br>state last, | middle name) | | | | 5179<br>CR<br>1026 | Celeste | TX | 75423 | | | (Address) | (City) | (State) | (Zip Code) | | | 02/24/2009 | | 3366 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,<br>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 fact…Read the full text as markdown