Full text of THREE OCEAN SECURITIES LLC's X-17A-5 filed 2025-02-05 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30,2026<br>Estimated average burden<br>hours per response:<br>12 | | | |-----------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------|-------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-69203 | | | | PART<br>III | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2024 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>MM/DD/YY | | AND ENDING 12/31/2024<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Three<br>Ocean | 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 | Security-based swap dealer | | Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>Fifth<br>551<br>Avenue<br>, | Suite<br>3800 | | | | | | (No. and Street) | | | | | New<br>York | NY | | 10176 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | David<br>W<br>Knowlton | 212-259-0559 | | dknow1ton@threeoceanpartners.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Phillip<br>V<br>George<br>,<br>, | PLLC | | | | | | (Name-if individual,state last,first, and middle name) | | | | | CR<br>5179<br>1026 | Celeste | TX | 75423 | | | (Address) | (City) | (State) | (Zip Code) | | | 02/24/2009 | | 3366 | | | | (Date of Registration with PCAOBRif applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number,if applicable) | | \* Claims for exemption from the requirement that the annual reports be covered by thereports 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 <sup>17</sup>…Read the full text as markdown