Full text of ASTOR RIDGE N.A. LLP's X-17A-5 filed 2024-06-03 (period 2024-03-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-69728 | | FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING April 1, 2023 AND ENDING March 31, 2024 MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Astor Ridge NA LLP TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 60 Rumson Rd | | (No. and Street) | | | |----------------------------------------------|---------------------------------------------------------------------------|--------------------------|------------| | Rumson | N.J. | | 07760 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | J. Clarke Gray | 917-238-1263 | clarke@taylorgrayllc.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Haynie & Co. | | | | | | (Name - if individual, state last, first, and middle name) | | | | 1785 West 2300 Street | Salt Lake City | Utah | 84119 | | (Address) | (City) | (State) | (Zip Code) | | 10/07/08 | | 2938 | | (rte of **Registration** with **PCAOB)(HI applicable)** (PCAOB Registration Number, if applicable) I **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-S(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 0MB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | J. Clartul Gray<br>1, | | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------|--|------------------------------…Read the full text as markdown