Full text of OCEAN TOMO INVESTMENT GROUP, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **OCEAN TOMO INVESTMENT GROUP, LLC STATEMENT OF FINANCIAL CONDITION** For the year ended December 31, 2020 {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHA.l'IIGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number:<br>3235-0123<br>Expires: October 31, 2023<br>Estimated average burden<br>hours per respense 12.00 | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|---------------|--------------------------------------------------------------------------------------------------------------------------------|-----|---------------------|--|--| | ANNUAL AUDITED REPORT | | | | | SEC FILE NUMBER | | | | FORM X-17 A-5<br>PART Ill | | | | 8 - | 69526 | | | | FACING PAGE<br>Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder<br>------------ | | | | | | | | | REPORT FOR THE PERIOD BEGfNNfNG | 1/1/2020<br>MM/DD'YY | AND ENDfNG | -----------<br>12/31/2020<br>MM/DD'YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF BROKER-DEALER: | | | | | | | | | Ocean Tomo Investment Group, LLC | | | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | 39 Broadway, Suite 3300, Room 6 | | | | | | | | New York | (No. and Street)<br>NY | | | | 10006 | | | | (City) | (State) | | (Zip Code) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT | | | | | | | | | Kathy Efrem | | | 212-897-1686 | | | | | | | | | (Arca Code -- Telephone No.) | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | | | YSL & Associates LLC | | | | | | | | | (Name - if individual, Ji ate lasi, firs/, middle name) | | | | | | | | 11 Broadway, Suite 700<br>(Address) | New York<br>(City) | NY<br>(State) | | | 10004<br>(Zip Code) | | | | CHECK ONE:<br>[!I Certified Public Accountant<br>0 Public Accountant<br>D Accountant not resident in United States or any of its possessions | FOR omcIAL USE ONL y | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the a111111al report be covered by the opinion of an independe…Read the full text as markdown