Full text of BLUE OCEAN ATS, LLC's X-17A-5 filed 2022-03-03 (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 AND REPORT OF INDEPENDENT REGISTERERED PUBLIC ACCOUNTING FIRM ### Pursuant to Rule 17a-5(d) of the Securities and Exchange Commission For the Period from October 13, 2020 (date of registration) through December 31, 2021 {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-70452 | | # **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 \_\_ l\_0/\_1\_3/\_2\_0 \_\_\_ AND ENDING \_\_ 12\_/\_3\_11\_2\_1 \_\_\_ \_ MM/DD/VY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : Blue Ocean ATS, LLC TYPE OF REGISTRANT (check all applicable boxes): I[] Broker-dealer D Security-based swap dealer □ 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.) Brook 35 Plaza, Suite 250, 2150 Route 35 (No. and Street) Sea Girt NJ (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 08750 (Zip Code) Greg Shinnick 332-910-5008 gregory.shinnick@blueoceanats.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Knight Rolleri Sheppard, CPAS, LLP (Name - if individual, state last, first, and middle name) 2150 Post Road, 5th Floor Fairfield CT (Address) (City) (State) 03/04/2009 3437 06824 (Zip Code) rte **of R,g;,trat;o, w;th PCAOB)(;f appHcableJ FOR OFFICIAL USE ONLY (PCAOB R,g;,trat;o, N"mbe,, ;f appHcableJ** I \* 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 1number. {2}------------------------------------------------ ### **OATH OR AFFIRMATION** | Greg Shinnick<br>I, | , swear (or affirm) that, to…Read the full text as markdown