Full text of OCEAN TOMO INVESTMENT GROUP, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # OCEA ' TOMO I VESTMENT GROUP, LLC STATEMENT OF FINANCIAL CONDITION For the year ended December 31, 20:21 {1}------------------------------------------------ | 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: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMER | | 8- 69526 FACING PAGE Information Required Pursuant to Rules 172-5, 172-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/21 AND ENDING 12/31/21 ## A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Ocean Tomo Investment Group, LLC TYPE OF REGISTRANT (check all applicable boxes): & 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.) # 42 Broadway, Suite 12-129 | | (No. and Street) | | |----------------------|---------------------------------------------------------------------------|-----------------------------| | New York | NY | 10004 | | (City) | (State) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | Kathy Efrem | (212) 897-1686 | kefrem@integrated.solutions | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | YSL & Associates LLC | | | | (Name - Il individual, state last, first, and middle name) | | | | | | |------------------------------------------------------------|----------|---------|--------------|--|--| | 11 Broadway, Suite 700 | New York | NY | 10004 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 06/06/2006 | 2699 | | | | | | (Data of Danistmition with DCADDit annlington | | | /DC A CVD. D | | | (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)(1)(ii), if applicable. Persons who are to respon…Read the full text as markdown