OTA Financial Group L.P.

Q3 2017 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
John Hanratty - Chief Compliance Officer
Location
Purchase, NY
Holdings as of
September 30, 2017
Value $
$181M
Num holdings
54
Date filed
10/25/2017, 01:51 PM
Form type
13F-HR/A-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included TMUSP, BACWSA, AIGWS, JPMWS, and ARNCPRB.
Previous filing
Q2 2017 - Jul 14, 2017
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 Location File Number
1 Ota Llc Purchase, NY 028-11280
2 Ota Trading Fund 1 Llc Purchase, NY 028-12833