OTA Financial Group L.P.

Q4 2020 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
James Santori - Chief Financial Officer
Location
Purchase, NY
Holdings as of
December 31, 2020
Value $
$151M
Num holdings
58
Date filed
1/20/2021, 04:19 PM
Form type
13F-HR-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included AGG, GOOG, SCHZ, LBRDK, and CEF.
Previous filing
Q3 2020 - Oct 28, 2020
Filing 2020 Q4 - Restatement compared to 2020 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
James Santori Chief Financial Officer Purchase, New York 1/20/2021

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