0001317346-23-000007.txt : 20230504 0001317346-23-000007.hdr.sgml : 20230504 20230504114337 ACCESSION NUMBER: 0001317346-23-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230504 DATE AS OF CHANGE: 20230504 EFFECTIVENESS DATE: 20230504 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: 23887295 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 X0202 13F-HR LIVE false true false 0001317346 XXXXXXXX 03-31-2023 03-31-2023 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 05-04-2023 2 46 113614 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA TRADING FUND 1 LLC INFORMATION TABLE 2 012023.xml ABRDN INCOME CREDIT STRATEGI COM 003057106 260 39038 SH DFND 2 260 0 0 ALPHABET INC-CL C CL C 02079K107 3875 37260 SH DFND 2 3875 0 0 B RILEY PRINCIPAL 250 MERG-A COM 05602L104 203 20055 SH DFND 1 2 203 0 0 BANNER ACQUISITION CORP COM 06654K101 513 50186 SH DFND 1 2 513 0 0 BLACKROCK CREDIT ALLOCATION COM 092508100 291 28325 SH DFND 2 291 0 0 BLACKROCK DEBT STRATEGIES FD COM 09255R202 315 33221 SH DFND 2 315 0 0 BLACKROCK RESOURCES & COMMOD SHS 09257A108 372 39025 SH DFND 2 372 0 0 BROADMARK REALTY CAPITAL INC COM 11135B100 830 176628 SH DFND 2 830 0 0 CALAMOS CONV OPP & INC SH BEN INT 128117108 398 37853 SH DFND 2 398 0 0 CALAMOS CVT AND HIGH INCOME SHS 12811P108 325 29803 SH DFND 2 325 0 0 CLEARWAY ENERGY INC-C CL C 18539C204 403 12868 SH DFND 2 403 0 0 COLOMBIER ACQUISITION CORP-A CL A 19533H108 360 35541 SH DFND 2 360 0 0 EG ACQUISITION CORP-A CL A 26846A100 357 35082 SH DFND 1 2 357 0 0 EATON VANCE ENH EQT INC II COM 278277108 861 52511 SH DFND 2 861 0 0 META PLATFORMS INC-CLASS A CL A 30303M102 10597 50000 SH DFND 2 10597 0 0 FG MERGER CORP COMMON STOCK 30324Y101 295 28417 SH DFND 2 295 0 0 1ST TRUST FOUR CORNERS COM 33733U108 201 20208 SH DFND 2 201 0 0 FIRST TRUST MLP AND ENERGY I COM 33739B104 610 79879 SH DFND 2 610 0 0 INTEGRAL ACQUISITION CORP-A COM 45827K101 403 39287 SH DFND 1 2 403 0 0 ISHARES 1-5Y INV GRADE CORP ISHRS 1-5YR INVS 464288646 612 12110 SH DFND 2 612 0 0 ISHARES 0-5 YR HY CORP BOND 0-5YR HI YL CP 46434V407 1733 41591 SH DFND 2 1733 0 0 KAYNE ANDERSON ENERGY INFRAS COM 486606106 540 62558 SH DFND 2 540 0 0 LIBERTY BROADBAND-C COM SER C 530307305 2624 32120 SH DFND 2 2624 0 0 MICROSOFT CORP COM 594918104 14415 50000 SH DFND 2 14415 0 0 NEWBURY STREET ACQUISITION C COM 65101L104 348 34044 SH DFND 1 2 348 0 0 NUVEEN AMT-FR MUNI CREDIT FD COM 67071L106 289 24574 SH DFND 2 289 0 0 OCCIDENTAL PETROLEUM CORP *W EXP 08/03/202 674599162 23160 564880 SH DFND 2 23160 0 0 PLAINS ALL AMER PIPELINE LP UNIT LTD PARTN 726503105 1373 110127 SH DFND 2 1373 0 0 BIORA THERAPEUTICS INC CALL 74319F905 272 98500 SH DFND 2 272 0 0 RF ACQUISITION CORP - CL A COM 74954L104 360 34988 SH DFND 1 2 360 0 0 RIVERNORTH CAPITAL AND INCOM COM 76882B108 308 19999 SH DFND 2 308 0 0 ROYCE VALUE TR INC COM 780910105 738 54450 SH DFND 2 738 0 0 SPDR PORTFOLIO AGGREGATE BON PORTFOLIO AGRGTE 78464A649 492 19108 SH DFND 2 492 0 0 SPDR BLOOMBERG 1-3 MONTH T-B BLOOMBERG 1-3 MO 78468R663 23888 260169 SH DFND 2 23888 0 0 CHARLES SCHWAB CORP-NEW COM 808513105 1782 34032 SH DFND 2 1782 0 0 SCHWAB US AGGREGATE BOND ETF US AGGREGATE B 808524839 1588 33869 SH DFND 2 1588 0 0 SCILEX HOLDING CO CALL 80880W906 8516 1038600 SH DFND 2 8516 0 0 SPORTSMAP TECH ACQUISITION C COM 84921J108 478 46022 SH DFND 1 2 478 0 0 TG VENTURE ACQUISITION CORP COM 87251T109 412 39817 SH DFND 1 2 412 0 0 TEMPLETON DRAGON FUND INC COM 88018T101 435 41083 SH DFND 2 435 0 0 TORTOISE ENERGY INFRASTRUCT COM 89147L886 2153 73232 SH DFND 2 2153 0 0 UNDER ARMOUR INC-CLASS A CL A 904311107 244 25747 SH DFND 2 244 0 0 VANGUARD INT-TERM CORPORATE INT-TERM CORP 92206C870 1409 17576 SH DFND 2 1409 0 0 WELSBACH TECHNOLOGY METALS COM 950415109 338 32577 SH DFND 2 338 0 0 YAMANA GOLD INC COM 98462Y100 3068 524471 SH DFND 2 3068 0 0 BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT G16258108 570 18094 SH DFND 2 570 0 0