Full text of THREE OCEAN SECURITIES LLC's X-17A-5 filed 2026-02-27 (period 2025-12-31). 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 ANNUAL REPORTS FORM X-17A-5 PART III** OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 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 MM/DD/YY MM/DD/YY FILING FOR THE PERIOD BEGINNING 01/01/2025 AND ENDING 12/31/2025 **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Three Ocean Securities LLC TYPE OF REGISTRANT (check all applicable boxes): S 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 a 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\* Phillip V. George, PLLC (Name -if individual, state last, first, and middle name) **FOR OFFICIAL USE ONLY** 5179 CR 1026 Celeste TX 75423 (Address) (City) (State) (Zip Code) 02/24/2009 3366 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) \* 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 information contained in this form are not required to respond unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | MichaelSchaps | | ,<br>to<br>swear (or affirm) that,<br>the best of my | the<br>knowledge and belief, | |------------------|---------------|-----------|-----------------------------------------------------------------|--------------------------------| | financial report | pertaining to | the firm | of Three Ocean Securities lie | ,<br>as of | | 12/31 | | 2025<br>? | ,<br>and correct. Ifurther<br>js true<br>swear (or affirm) that | neither the<br>company nor any | | | | | | | pa…Read the full text as markdown