# EDGAR Filing Document

**Accession Number:** 0001317346
**File Stem:** 0001317346-23-000003
**Filing Date:** 2023-2
**Character Count:** 10919
**Document Hash:** 20d8f557f09ec4b57dd9e4f93b413a0d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001317346-23-000003.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001317346-23-000003

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**EFFECTIVENESS DATE**: 20230209

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** OTA Financial Group L.P.
- **CENTRAL INDEX KEY:** 0001317346
- **IRS NUMBER:** 134078069
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-11283
- **FILM NUMBER:** 23605638

**BUSINESS ADDRESS:**
- **STREET 1:** 1 MANHATTANVILLE ROAD
- **CITY:** PURCHASE
- **STATE:** NY
- **ZIP:** 10577
- **BUSINESS PHONE:** 914-694-5800

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

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [x] **Amendment Number:** 1

**This Amendment (Check only one.):** [x] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** OTA Financial Group L.P.<br>**Address:** 1 MANHATTANVILLE ROAD<br>PURCHASE, NY 10577

**Form 13F File Number:** 028-11283

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** James Santori<br>**Title:** Chief Financial Officer<br>**Phone:** 914-460-4007

**Signature, Place, and Date of Signing:**

James Santori  Purchase, NY  02-09-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 2

**Form 13F Information Table Entry Total:** 70

**Form 13F Information Table Value Total:** $100283

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

| No.   | Name                   | Form 13F File Number   |
|:---|:---|:---|
|  | OTA LLC                | 028-11280              |
|  | OTA TRADING FUND 1 LLC | 028-12833              |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ADAMS NATURAL RESOURCES FUND | COM | 00548F105 |  | 344 | 15808 | SH |  | DFND | 2 | 344 | 0 | 0 |
| ADARA ACQUISITION CORP-CL A | CL A | 00653H102 |  | 563 | 55373 | SH |  | DFND | 1 2 | 563 | 0 | 0 |
| ALLIANCE NATIONAL MUNI INC | COM | 01864U106 |  | 600 | 57300 | SH |  | DFND | 2 | 600 | 0 | 0 |
| ALPHABET INC-CL A | CL A | 02079K305 |  | 1053 | 11944 | SH |  | DFND | 2 | 1053 | 0 | 0 |
| AMERICA MOVIL S A DE C V | ADR | 02364W204 |  | 256 | 14253 | SH |  | DFND | 2 | 256 | 0 | 0 |
| ATLANTIC COASTAL ACQUISITI-A | COM | 048453104 |  | 286 | 28560 | SH |  | DFND | 1 2 | 286 | 0 | 0 |
| BANNER ACQUISITION CORP | COM | 06654K101 |  | 505 | 50186 | SH |  | DFND | 1 2 | 505 | 0 | 0 |
| BANNIX ACQUISITION CORP | COM | 066644105 |  | 286 | 28188 | SH |  | DFND | 1 2 | 286 | 0 | 0 |
| BLACKROCK CAL MUN TR SBI | SH BEN INT | 09248E102 |  | 602 | 55637 | SH |  | DFND | 2 | 602 | 0 | 0 |
| BLACKROCK ENRGY  RES | COM | 09250U101 |  | 561 | 44811 | SH |  | DFND | 2 | 561 | 0 | 0 |
| BLACKROCK MUNICIPAL INCOME | COM | 09253X102 |  | 864 | 76344 | SH |  | DFND | 2 | 864 | 0 | 0 |
| BLACKROCK MUNIHOLDINGS CA QU | COM | 09254L107 |  | 962 | 89643 | SH |  | DFND | 2 | 962 | 0 | 0 |
| BLACKROCK MUNIHOLDINGS NY QU | COM | 09255C106 |  | 254 | 24752 | SH |  | DFND | 2 | 254 | 0 | 0 |
| BLACKROCK MUNIYIELD PENNSYLV | COM | 09255G107 |  | 252 | 22932 | SH |  | DFND | 2 | 252 | 0 | 0 |
| BLACKSTONE STRATEGIC CREDIT | COM SHS BEN IN | 09257R101 |  | 213 | 20209 | SH |  | DFND | 2 | 213 | 0 | 0 |
| BLACKROCK HEALTH SCI TR II | SHS | 09260E105 |  | 701 | 45433 | SH |  | DFND | 2 | 701 | 0 | 0 |
| BLACKROCK INNOV  GROW TR | SHS BEN INT | 09260Q108 |  | 8694 | 1276755 | SH |  | DFND | 2 | 8694 | 0 | 0 |
| BLACKROCK CAPITAL ALLOCATION | COM | 09260U109 |  | 691 | 49829 | SH |  | DFND | 2 | 691 | 0 | 0 |
| BLACKROCK ESG CAPITAL ALLOC | SHS BEN INT | 09262F100 |  | 1363 | 101556 | SH |  | DFND | 2 | 1363 | 0 | 0 |
| BNYM STRAT MUNI BND | COM | 09662E109 |  | 461 | 79794 | SH |  | DFND | 2 | 461 | 0 | 0 |
| BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 |  | 204 | 12645 | SH |  | DFND | 2 | 204 | 0 | 0 |
| BURTECH ACQUISITION CORP-A | COM | 123013104 |  | 200 | 19731 | SH |  | DFND | 1 2 | 200 | 0 | 0 |
| CLEARBRIDGE MLP  MIDSTREAM | COM | 18469Q207 |  | 441 | 15611 | SH |  | DFND | 2 | 441 | 0 | 0 |
| COLOMBIER ACQUISITION CORP-A | CL A | 19533H108 |  | 685 | 69007 | SH |  | DFND | 1 2 | 685 | 0 | 0 |
| DIAMONDHEAD HOLDINGS CORP-A | CL A | 25278L105 |  | 240 | 23863 | SH |  | DFND | 1 2 | 240 | 0 | 0 |
| EG ACQUISITION CORP-A | CL A | 26846A100 |  | 349 | 35091 | SH |  | DFND | 1 2 | 349 | 0 | 0 |
| FG MERGER CORP | COMMON STOCK | 30324Y101 |  | 304 | 28417 | SH |  | DFND | 2 | 304 | 0 | 0 |
| FAST ACQUISITION CORP II-A | CL A | 311874101 |  | 516 | 51557 | SH |  | DFND | 2 | 516 | 0 | 0 |
| FIRST RESERVE SUSTAINABLE-A | COM | 336169107 |  | 408 | 40618 | SH |  | DFND | 1 2 | 408 | 0 | 0 |
| FIRST TRUST ENERGY INFRASTRU | COM | 33738C103 |  | 334 | 23180 | SH |  | DFND | 2 | 334 | 0 | 0 |
| FIRST TRUST MLP AND ENERGY I | COM | 33739B104 |  | 430 | 55102 | SH |  | DFND | 2 | 430 | 0 | 0 |
| GOLDMAN SACHS MLP  ENERGY R | COM | 38148G206 |  | 616 | 48270 | SH |  | DFND | 2 | 616 | 0 | 0 |
| HERTZ GLOBAL HLDGS INC | W EXP 06/30/205 | 42806J148 |  | 649 | 87153 | SH |  | DFND | 2 | 649 | 0 | 0 |
| INSIGHT ACQUISITION CORP-A | CL A | 45784L100 |  | 226 | 22485 | SH |  | DFND | 1 2 | 226 | 0 | 0 |
| INTEGRAL ACQUISITION CORP-A | COM | 45827K101 |  | 397 | 39297 | SH |  | DFND | 1 2 | 397 | 0 | 0 |
| INVESCO PA VAL MUNI INC | COM | 46132K109 |  | 248 | 25381 | SH |  | DFND | 2 | 248 | 0 | 0 |
| INVESCO VALUE MUNICIPAL INCO | COM | 46132P108 |  | 320 | 26613 | SH |  | DFND | 2 | 320 | 0 | 0 |
| ISHARES CORE U.S. AGGREGATE | ET | 464287226 |  | 4468 | 46069 | SH |  | DFND | 2 | 4468 | 0 | 0 |
| KADEM SUSTAINABLE IMPAC-CL A | COM | 48284E105 |  | 241 | 24049 | SH |  | DFND | 1 2 | 241 | 0 | 0 |
| KAYNE ANDERSON ENERGY INFRAS | COM | 486606106 |  | 1429 | 167014 | SH |  | DFND | 2 | 1429 | 0 | 0 |
| KAYNE ANDERSON NEXTGEN ENERG | COM | 48661E108 |  | 1153 | 153557 | SH |  | DFND | 2 | 1153 | 0 | 0 |
| LIBERTY BROADBAND-C | COM SER C | 530307305 |  | 5872 | 76995 | SH |  | DFND | 2 | 5872 | 0 | 0 |
| M3-BRIGADE ACQUISITION II-A | CL A | 553800103 |  | 210 | 21023 | SH |  | DFND | 1 2 | 210 | 0 | 0 |
| NBRGR BRMN NEX GEN CONNECT | COMMON STOCK | 64133Q108 |  | 1267 | 139335 | SH |  | DFND | 2 | 1267 | 0 | 0 |
| NEWBURY STREET ACQUISITION C | COM | 65101L104 |  | 340 | 34044 | SH |  | DFND | 1 2 | 340 | 0 | 0 |
| NUVEEN DIV ADV MUNI | COM | 67066V101 |  | 240 | 20355 | SH |  | DFND | 2 | 240 | 0 | 0 |
| NUVEEN FLOAT RATE INC FD | COM | 67072T108 |  | 260 | 32946 | SH |  | DFND | 2 | 260 | 0 | 0 |
| OCCIDENTAL PETROLEUM CORP | W EXP 08/03/202 | 674599162 |  | 24508 | 594431 | SH |  | DFND | 2 | 24508 | 0 | 0 |
| PIMCO MUNI INCOME FD II | COM | 72200W106 |  | 295 | 32731 | SH |  | DFND | 2 | 295 | 0 | 0 |
| PIMCO FLOATING RATE | COM | 72201J104 |  | 213 | 30128 | SH |  | DFND | 2 | 213 | 0 | 0 |
| PIONEER MUNI HIGH INC OPP | COMMON STOCK | 723760104 |  | 492 | 46222 | SH |  | DFND | 2 | 492 | 0 | 0 |
| PLAINS ALL AMER PIPELINE LP | UNIT LTD PARTN | 726503105 |  | 1079 | 91789 | SH |  | DFND | 2 | 1079 | 0 | 0 |
| RF ACQUISITION CORP - CL A | COM | 74954L104 |  | 353 | 34988 | SH |  | DFND | 1 2 | 353 | 0 | 0 |
| SCHWAB US AGGREGATE BOND ETF | US AGGREGATE B | 808524839 |  | 1141 | 25006 | SH |  | DFND | 2 | 1141 | 0 | 0 |
| SOUTH JERSEY INDUSTRIES | UNIT 04/01/2024 | 838518306 |  | 6151 | 89121 | SH |  | DFND | 2 | 6151 | 0 | 0 |
| SPORTSMAP TECH ACQUISITION C | COM | 84921J108 |  | 470 | 46022 | SH |  | DFND | 1 2 | 470 | 0 | 0 |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 |  | 12591 | 892993 | SH |  | DFND | 2 | 12591 | 0 | 0 |
| SPROTT PHYSICAL SILVER TRUST | UNIT | 85207K107 |  | 275 | 33429 | SH |  | DFND | 2 | 275 | 0 | 0 |
| TG VENTURE ACQUISITION CORP | COM | 87251T109 |  | 404 | 39817 | SH |  | DFND | 1 2 | 404 | 0 | 0 |
| TEMPLETON DRAGON FUND INC | COM | 88018T101 |  | 225 | 22087 | SH |  | DFND | 2 | 225 | 0 | 0 |
| TORTOISE ENERGY INFRASTRUCT | COM | 89147L886 |  | 4321 | 136037 | SH |  | DFND | 2 | 4321 | 0 | 0 |
| TORTOISE MIDSTREAM ENERGY | COM | 89148B200 |  | 2162 | 62542 | SH |  | DFND | 2 | 2162 | 0 | 0 |
| TWELVE SEAS INVTMNT CO II -A | CL A | 90118T106 |  | 299 | 29738 | SH |  | DFND | 1 2 | 299 | 0 | 0 |
| UNDER ARMOUR INC-CLASS A | CL A | 904311107 |  | 366 | 36073 | SH |  | DFND | 2 | 366 | 0 | 0 |
| VANGUARD INT-TERM CORPORATE | INT-TERM CORP | 92206C870 |  | 1015 | 13097 | SH |  | DFND | 2 | 1015 | 0 | 0 |
| WELSBACH TECHNOLOGY METALS | COM | 950415109 |  | 332 | 32577 | SH |  | DFND | 2 | 332 | 0 | 0 |
| WESTERN ASSET MUNICIPAL PART | COM | 95766P108 |  | 308 | 26526 | SH |  | DFND | 2 | 308 | 0 | 0 |
| ZILLOW GROUP INC - A | CL A | 98954M101 |  | 368 | 11815 | SH |  | DFND | 2 | 368 | 0 | 0 |
| BROOKFIELD REINSURANCE LTD | CL A EXCH LT VTG | G16250105 |  | 1150 | 36764 | SH |  | DFND | 2 | 1150 | 0 | 0 |
| GENIUS SPORTS LTD | W EXP 04/20/202 | G3934V117 |  | 207 | 230973 | SH |  | DFND | 2 | 207 | 0 | 0 |

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