OTA Financial Group L.P.

Q4 2017 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
John Hanratty - Chief Compliance Officer
Location
Purchase, NY
Holdings as of
December 31, 2017
Value $
$254M
Num holdings
62
Date filed
2/22/2018, 02:32 PM
Form type
13F-HR-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included JPMWS, BACWSA, LBRDK, TMUS, and GOOGL.
Previous filing
Q3 2017 - Oct 25, 2017
Filing 2017 Q4 - Restatement compared to 2017 Q3 - Restatement 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