OTA Financial Group L.P.

Q4 2013 13F Holdings Report, Stock Holdings

Signature - Title
John Hanratty - Chief Compliance Officer
Location
Purchase, NY
Holdings as of
December 31, 2013
Value $
$104M
Num holdings
114
Date filed
2/12/2014, 01:30 PM
Form type
13F-HR
Description
All US holdings of this investor are reported in this report. Top holdings included GM, PHYS, OCRPRB, GTPPP, and RDSA.
Next filing
Q1 2014 - Apr 30, 2014
SEC
View on sec.gov
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
John Hanratty Chief Compliance Officer Purchase, New York 2/12/2014

Other Included Managers (2):

Num Name Location File Number
1 Ota Llc Purchase, NY 028-11280
2 Ota Trading Fund 1 Llc Purchase, NY 028-12833