Full text of ASTOR RIDGE N.A. LLP's X-17A-5 filed 2023-06-29 (period 2023-03-31). 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** PUBLIC # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | SEC FILE NUMBER 8-69728 | Information Required Pursuant to Rules 17a-s, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------|--|--|--| | FILING FOR THE PERIOD BEGINNING | ___<br>0_4J_0_1_f2_2 __ | ANO ENDING | ___ | __<br>0_3_/3_1_/_2_3 | | | | | | MM/DD/VY | | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | Astor Ridge NA LLP<br>NAME OF FIRM: | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Security-based swap dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | | | | | ADDRESS OF PRINCIPAL PIACE OF BUSINESS: (Do not use a P.O. box no.} | | | | | | | | | 60 Rumson Road | | | | | | | | | | (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<br>clarke@taylorgrayllc,com | | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Haynie & Co. | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 1785 West 2300 South | Salt Lake City | | Utah | 84119 | | | | | (Address)<br>10/20/2003 | (City) | | (State)<br>457 | (Zip Code) | | | | | (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 t…Read the full text as markdown