OTA Financial Group L.P.

Q3 2020 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
James Santori - Chief Financial Officer
Location
Purchase, NY
Holdings as of
September 30, 2020
Value $
$108M
Num holdings
63
Date filed
10/27/2020, 06:52 PM
Form type
13F-HR-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included CEF, VCIT, BND, VSLR, and SCHZ.
Previous filing
Q2 2020 - Jul 16, 2020
Filing 2020 Q3 - Restatement compared to 2020 Q2 - 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
James Santori Chief Financial Officer Purchase, New York 10/27/2020

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