# EDGAR Filing Document

**Accession Number:** 0000869035
**File Stem:** 0000869035-23-000006
**Filing Date:** 2023-2
**Character Count:** 2623
**Document Hash:** 01c874a016fcf51d7b24b2334de62cff
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000869035-23-000006.hdr.sgml**: 20230228

**ACCESSION NUMBER**: 0000869035-23-000006

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230228

**EFFECTIVENESS DATE**: 20230228

**PERIOD START**: 20220101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** OTA LLC
- **CENTRAL INDEX KEY:** 0000869035
- **IRS NUMBER:** 133545927
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-43168
- **FILM NUMBER:** 23688957

**BUSINESS ADDRESS:**
- **STREET 1:** ONE MANHATTANVILLE ROAD
- **CITY:** PURCHASE
- **STATE:** NY
- **ZIP:** 10577
- **BUSINESS PHONE:** 914-460-4007

**MAIL ADDRESS:**
- **STREET 1:** ONE MANHATTANVILLE ROAD
- **CITY:** PURCHASE
- **STATE:** NY
- **ZIP:** 10577

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** OTA LTD PARTNERSHIP                                     /BD
- **DATE OF NAME CHANGE:** 20020205

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** OTA LTD PARTNERSHIP /NY/                                /BD
- **DATE OF NAME CHANGE:** 19980303

### Attached PDF Documents

**Attachment 1:** `2022OTALLCSFCFINAL.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000869035

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 01-01-2022

**Report Period End Date:** 12-31-2022

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** OTA LLC

**Business Address:** ONE MANHATTANVILLE ROAD, PURCHASE, NY, 10577

**Contact Person:** JAMES W. SANTORI, CHIEF FINANCIAL OFFICER

**Contact Phone:** 914-460-4007

### Independent Public Accountant Identification

**Accountant Name:** WITHUM SMITH BROWN PC

**Accountant Address:** 200 JEFFERSON PARK, SUITE 400, WHIPPANY, NJ, 07981-1070

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **JAMES W. SANTORI**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **OTA LLC**, as of **12-31-2022**, are true and correct.

**Signature:** JAMES W. SANTORI

**Title:** CHIEF FINANCIAL OFFICER

**Notarized:** Yes