Full text of BLUE OCEAN ATS, LLC's X-17A-5 filed 2024-03-15 (period 2023-12-31). 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 Year Ended December 31, 2023** {1}------------------------------------------------ **UNITED STATES SECURmES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-70452 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchanee Act of 1934** FILING FOR THE PERIOD BEGINNING \_o\_1 \_to\_1 \_ 12\_3 \_\_\_\_\_ AND ENDING \_ 1 \_ 2 \_ 13 \_ 1 \_ 1 \_ 23 \_\_\_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Blue Ocean ATS, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D 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.) 515 N. Flagler Dr. Suite P-300, 515 (No. and Street) West Palm Beach FL (Oty) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 33401 (Zip Code) Edward Wishik 332-910-5070 Edward.Wlshlk@blueocean-tech.io (Name) (Area Code - Telephone Number) (Email Address) **8. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• Rolleri & Sheppard CPAS, LLP (Name - If individual, state last, first, and middle name) 2150 Post Road, 5th Floor (Address) 03/04/2009 Fairfield (Oty) CT (State} 3437 06824 (Zip Code) **(Date** of ation with PCA0B If a llcable PCA0B Re lstration Number, If a llcable **FOR OFFICIAL USE ONLY** • Oalms for exemptlon 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. p.,\_., **who are** to reapond to the collectlon of Information contained In this form **are** not required to respond unlus the form **clsplays a cwr.ntty valJd** 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Brian Hyndman | | | | • swear {or affirm) that, to the best of my knowledge and belief. the | |------------------------|----------------------…Read the full text as markdown