OTA Financial Group L.P.

Q3 2017 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
James Santori - Chief Financial Officer
Location
Purchase, NY
Holdings as of
September 30, 2017
Value $
$181M
Num holdings
54
Date filed
10/25/2017, 01:51 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q2 2017 - Jul 14, 2017
Next filing
Q4 2017 - Feb 22, 2018
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2017 Q3 - Restatement compared to 2017 Q2 by default.
* 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 10/25/2017

Other Included Managers (2):

Num Name File Number
1 OTA LLC 028-11280
2 OTA SWAPS LLC 028-12833