Full text of OPENDEAL BROKER LLC's X-17A-5 filed 2022-03-29 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31 , 2021 {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ### **ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **Q 1/01 /21** MM/DD/YY AND ENDING **12/31 /21** MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Open Deal Broker LLC TYPE OF REGISTRANT (check all applicable boxes): ' 0 Broker-dealer O Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1345 Avenue of the Americas 15th Floor | | (No. and Street) | | |---------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------| | New York | NY | 10105 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Casey Sullivan Mccaffrey 617 -365 4156 | | casey@thecapitalr.co | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | 8. ACCOUNTANT IDENTIFICATION | | | YSL & Associates | (Name - if individual, state last, first, and middle name) | | | 11 Broadway Suite 700 | New York | 10004<br>NY | | | (City) | (Zip Code)<br>(State) | | (Address) | | 2699 | | 06/06/2006<br>rte of Reg;st,ation with PCAOB)(;f appl;cablel | | (PCAOB Rcg;stration Numbe,, ;f appUrableJ | 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. | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235--0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMBER | |-----------------| | 8-70188 | {2}------------------------------------------------ #### **OATH OR AFFIRMATION** 1, Casey Sullivan swear (or affirm) that, to the b…Read the full text as markdown