0001317346-21-000009.txt : 20210728 0001317346-21-000009.hdr.sgml : 20210728 20210728133603 ACCESSION NUMBER: 0001317346-21-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210728 DATE AS OF CHANGE: 20210728 EFFECTIVENESS DATE: 20210728 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: 211121652 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 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001317346 XXXXXXXX 06-30-2021 06-30-2021 true 1 RESTATEMENT OTA Financial Group L.P.

1 MANHATTANVILLE ROAD PURCHASE NY 10577

13F HOLDINGS REPORT 028-11283 N James Santori 914-460-4007 James Santori Purchase NY 07-28-2021 2 95 90198 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA TRADING FUND 1 LLC INFORMATION TABLE 2 022021.xml AST SPACEMOBILE INC *W EXP 04/06/202 00217D118 311 54642 SH DFND 2 311 0 0 ABERDEEN GLBL PREM PROP COM SH BEN INT 00302L108 615 96699 SH DFND 2 615 0 0 ADAMS DIVERSIFIED EQUITY COM 006212104 357 18084 SH DFND 2 357 0 0 ALTITUDE ACQUISITION CORP-A CL A 02156Y103 386 39468 SH DFND 1 2 386 0 0 BLACKROCK MULTI-SECTOR INCOM COM 09258A107 210 11302 SH DFND 2 210 0 0 BROOKFIELD PROPERTY REIT I-A CL A 11282X103 730 38673 SH DFND 2 730 0 0 CA HEALTHCARE ACQUISITION-A CL A 12510W107 214 21691 SH DFND 1 2 214 0 0 CIT GROUP INC COM 125581801 664 12876 SH DFND 2 664 0 0 CADENCE BANCORP CL A 12739A100 242 11601 SH DFND 2 242 0 0 CARNIVAL CORP 99/99/9999 143658300 1630 61859 SH DFND 2 1630 0 0 CEL-SCI CORP PUT 150837957 420 48500 SH DFND 2 420 0 0 CHESAPEAKE ENERGY CORP *W EXP 09/02/202 165167180 257 12365 SH DFND 2 257 0 0 CHURCHILL CAPITAL CORP VII-A CL A 17144M102 303 31161 SH DFND 1 2 303 0 0 CHURCHILL CAPITAL CORP V-A CL A 17144T107 253 25200 SH DFND 1 2 253 0 0 CLEARWAY ENERGY INC-C CL C 18539C204 687 25972 SH DFND 2 687 0 0 COHEN & STEERS MLP INCOME AN SHS 19249B106 951 233720 SH DFND 2 951 0 0 CUSHING MLP & INFRASTRUCTURE COM 231631300 456 15454 SH DFND 2 456 0 0 DPCM CAPITAL INC - 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