Full text of THE TRANSPORTATION GROUP (SECURITIES) LIMITED's X-17A-5 filed 2020-04-17 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number. 3235-0123 Expires: August 31, 2020 Estimated average burden hours oerresoonse .. . . .. 12.00 SEC FILE NUMBER 8-69878 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING January 1, 2019 | MM/0D/YY | | AND ENDING December 31, 2019<br>MM/0D/YY | |-------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------|------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | | | OFFICIAL u sE ONLY | | NAME OF BROKER-DEALER: The Transportation Group (Securities) Limited<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | FIRM I.D. NO. | | | 122 East 42nd Street, Suite 2018 | | | | | | (No. and Street) | | | | NewY«D"H< | Ne11/Wmkk | | 10168 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Charles H. Kolber | | | 212-319-2233 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | GR Reid Associates, LLP | | | | | | (Name - if individual, srate last, first, middle name) | | | | 7600 Jericho Tpke., Suite 400 Woodbury | | NY | 11797 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I ti' I<br>Certified Public Accountant | | | | | | | | | | | | | | | Public Accountant | Accountant not resident in United States or any of its possessions. | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17 a-5{e}(2)* > **Potential 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.** SEC 1410 (06-02) {1}------------------------------------------------ # OATH OR AFFIRMATION I, Charles H. Kolber, swear (or affirm) that, to the be…Read the full text as markdown