Full text of THE TRANSPORTATION GROUP (SECURITIES) LIMITED's X-17A-5 filed 2021-03-31 (period 2020-12-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSl'ATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours r res onse ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | B-69878 | | ### **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | REPORT FOR THE PERIOD BEGINNING January 1, 2020 | | AND ENDING December 31, 2020 | | | |----------------------------------------------------------------------------------------------|---------------------------------------------------------------------|------------------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: The Transportation Group (Securities) Limited | | OFFICIAL usE ONLY | | | | 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) | | | | | New York | New York | | 10168 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Charlea H. Kolber | | | 212-319-2233 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | | GR Reid Associates, LLP | | | | | | | (Name - if Individual, slate las/, first, middle name) | | | | | 7600 Jericho Tpke., Suite 400 Woodbury | | NY | 11797 | | | (Address) | (City) | (Stale) | (Zip Code) | | | CHECK ONE: | | | | | | j / j Certified Public Accountant | | | | | | Public Accountant | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *•claims for exemption from the requirement that the annual report be covered by the opinion of an Independent public accounlant must be supported by a statement of facts and circumstances relied on as the basis/or the exemption, See Section UO.* J *7a-5(e)(2)* > **Potentlal persons who are to respond to the collection of Information contained In this form are not required to respond** unless the form dlsplays a currenlly valld 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ # **OA…Read the full text as markdown