0001317346-11-000010.txt : 20111110 0001317346-11-000010.hdr.sgml : 20111110 20111110165947 ACCESSION NUMBER: 0001317346-11-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111110 DATE AS OF CHANGE: 20111110 EFFECTIVENESS DATE: 20111110 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: 111196117 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 form13fotafg3rd2011.txt 13F-HR OTA FINANCIAL GROUP LP 3RD QUATER 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: OTA Financial Group LP Address: 1 Manhattanville Road Purchase, NY 10577 Form 13F File Number: 28-11283 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: John Hanratty Title: Chief Compliance Officer Phone: 914-460-4099 Signature, Place, and Date of Signing: /s/ John Hanratty Purchase, NY November 10, 2011 ---------------------------- ----------------------------- ------------------- [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 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: 83 Form 13F Information Table Value Total: 84,621 (thousands) 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. No. Form 13F File Number Name 1 28-11280 OTA LLC 2 28-12833 OTA SWAPS LLC NAME OF ISSUER TITLE OF CLASS CUSIP VALUE AMOUNT TYPE INVSTMT OTHER VOTE DISCRETION MANAGERS AUTHORITY SOLE ABERDEEN ASIA PAC INC FD COM 003009107 202 29338 SH DEFINED 1 202 Adams Express Co COM 006212104 187 20360 SH DEFINED 1 187 AFFIRMATIVE INS HLDGS INC COM 008272106 19 12094 SH DEFINED 1 19 AMERICA MOVIL S A DE C V SHS 02364W204 386 17440 SH DEFINED 1 386 APACHE CORP COM 037411105 1216 15161 SH DEFINED 1 1216 BEAZER HOMES USA NT SUB7.5 2013 07556Q402 494 53115 SH DEFINED 1 494 BHP BILLITON PLC SP ADR ADR 05545E209 378 7128 SH DEFINED 1 378 BLACKROCK CORPORATE HY FD 5 COM 09255N102 2053 190185 SH DEFINED 1 2053 BLACKROCK CORPORATE HY FD VI COM 09255P107 1328 125671 SH DEFINED 1 1328 BlackRock Enhanced Capital and COM 09256A109 143 12193 SH DEFINED 1 143 BlackRock Muni Intermediate Du COM 09253X102 507 34568 SH DEFINED 1 507 CALAMOS STRATEGIC TOTAL TOTL RETN COM SH BEN INT 128125101 120 15084 SH DEFINED 1 120 CARNIVAL CORP PAIRED CTF 143658300 576 19019 SH DEFINED 1 576 CITIGROUP INC *W EXP 10/28/201 172967234 7 92041 SH DEFINED 1 7 CITIGROUP INC UNIT 99/99/9999 172967416 6589 82748 SH DEFINED 1 6589 CLEARBRIDGE ENERGY MLP FUND COM 184692101 732 37487 SH DEFINED 1 732 COMCAST CORP NEW CL A 20030N101 776 37150 SH DEFINED 1 776 Eaton Vance Floating-Rate Inco COM 278279104 178 12636 SH DEFINED 1 178 EATON VANCE LIMITED COM 27828H105 213 14580 SH DEFINED 1 213 Eaton Vance Tax-Managed Divers COM 27828N102 253 29687 SH DEFINED 1 253 Eaton Vance Tax-Managed Global COM 27829F108 487 60976 SH DEFINED 1 487 Eletrobras SA ADR 15234Q207 1492 170210 SH DEFINED 1 1492 ENBRIDGE ENERGY PARTNERS COM 29250R106 268 9768 SH DEFINED 1 268 ENERGY SELECT SECTOR SPDR SPDR TR SBI INT-ENERGY 81369Y506 479 8181 SH DEFINED 1 479 FIRST ACCEPTANCE CORP COM 318457108 32 26285 SH DEFINED 1 32 Ford Motor Co CALL 345370900 1673 119400 CALL DEFINED 2 1673 FORTUNE BRANDS INC COM 349631101 3681 68080 SH DEFINED 1 3681 GABELLI DIVIDEND & INCOME COM 36242H104 175 12823 SH DEFINED 1 175 GENERAL MOTORS CO *W EXP 07/10/201 37045V118 2277 195637 SH DEFINED 1 2277 GENERAL MOTORS CO *W EXP 07/10/201 37045V126 337 42500 SH DEFINED 1 337 GLOBAL LOGISTICS ACQUISITION COM 18145M109 4 10300 SH DEFINED 1 4 HARTFORD FINANCIAL SVCS GRP COM 416515104 311 19290 SH DEFINED 1 311 HECKMANN CORP *W EXP 11/09/201 422680116 2 24311 SH DEFINED 1 2 Invesco Van Kampen Senior Inco COM 46131H107 349 82892 SH DEFINED 1 349 iShares Barclays Credit Bond F TR BARCLYS CR BD 464288620 342 3180 SH DEFINED 1 342 ISHARES INC MSCI BRAZIL 464286400 264 5079 SH DEFINED 1 264 ISHARES INC MSCI TAIWAN 464286731 196 16615 SH DEFINED 1 196 iShares MSCI All Country Asia TR MSCI ACJPN IDX 464288182 348 7481 SH DEFINED 1 348 iShares MSCI EAFE Growth Index TR MSCI GRW IDX 464288885 4029 80840 SH DEFINED 1 4029 iShares MSCI EAFE Value Index TR MSCI VAL IDX 464288877 3895 93899 SH DEFINED 1 3895 iShares MSCI Hong Kong Index F MSCI HONG KONG 464286871 536 37424 SH DEFINED 1 536 ISHARES MSCI INDONESIA INVES TR INDO INVS MRKT 46429B309 713 27625 SH DEFINED 1 713 ISHARES MSCI JAPAN INDEX FUN MSCI JAPAN 464286848 1034 109330 SH DEFINED 1 1034 iShares MSCI Pacific ex-Japan MSCI PAC J IDX 464286665 541 14718 SH DEFINED 1 541 ISHARES MSCI SOUTH KOREA MSCI S KOREA 464286772 264 5685 SH DEFINED 1 264 ISHARES S&P EUROPE 350 TR S&P EURO PLUS 464287861 3128 98179 SH DEFINED 1 3128 J P MORGAN CHASE & CO COM 46625H100 240 7986 SH DEFINED 1 240 JOHN HANCOCK PREFERRED COM 41013X106 267 13710 SH DEFINED 1 267 LEVEL 3 COMMUNICATIONS INC COM 52729N100 24 16532 SH DEFINED 1 24 LIBERTY ALL STAR EQUITY FUND EQUITY FD SH BEN INT 530158104 540 131854 SH DEFINED 1 540 Lone Pine Resources Inc COM 54222A106 138 17857 SH DEFINED 1 138 MARKET VECTORS RUSSIA ETF ETF 57060U506 619 24477 SH DEFINED 1 619 METLIFE INC UNIT 99/99/9999 59156R116 795 14058 SH DEFINED 1 795 News Corp CL B 65248E203 2290 146817 SH DEFINED 1 2290 NORTHGATE EXPL LTD COM 666416102 55 16733 SH DEFINED 1 55 NUV QLTY PFD INCOME FD 2 COM 67072C105 170 22430 SH DEFINED 1 170 NUVEEN BUILD AMERICAN BOND COM 67074C103 252 12668 SH DEFINED 1 252 NUVEEN FLOATING RATE INC FD COM 67072T108 190 18847 SH DEFINED 1 190 NUVEEN MULTI-ST INC & GTH 2 SHS 67073D102 96 12340 SH DEFINED 1 96 PETROLEO BRASILEIRO S.A.-ADR ADR 71654V408 291 12973 SH DEFINED 1 291 PowerShares DWA Emerging Marke ETF TRUST II DWA EMRG MKTS 73936Q207 176 12358 SH DEFINED 1 176 PPL CORPORATION UNIT 99/99/9999 69351T601 852 15392 SH DEFINED 1 852 RAYONIER INC CALL 754907903 2498 37500 CALL DEFINED 2 2498 ROYAL DUTCH SHELL PLC-ADR PLC SPON ADR B 780259107 2177 35086 SH DEFINED 1 2177 Sealy COM 812139301 123 83714 SH DEFINED 1 123 SPDR Barclays Capital High Yie ETF 78464A417 3850 106391 SH DEFINED 1 3850 SPDR S&P International Small C SHS FDS S&P INTL SMLCP 78463X871 895 35651 SH DEFINED 1 895 SPROTT PHYSICAL GOLD TRUST GOLD TRUST UNIT 85207H104 2314 164957 SH DEFINED 1 2314 Sprott Physical Silver Trust SILVER TR TR UNIT 85207K107 291 21003 SH DEFINED 1 291 SYNOVUS FINANCIAL CORP UNIT 99/99/9999 87161C204 465 41600 SH DEFINED 1 465 TEL AND DATA SYS INC COM 879433860 515 26078 SH DEFINED 1 515 TELEFONOS DE MEXICO-SP ADR A SHS 879403707 160 10556 SH DEFINED 1 160 TORTOISE MLP FUND INC COM 89148B101 494 21930 SH DEFINED 1 494 UNILEVER PLC NEW ADR ADR 904767704 1134 36364 SH DEFINED 1 1134 VALE CAPITAL II CV 6.75%12 91912F201 6385 100000 SH DEFINED 1 6385 VANGUARD EMERG MARKETS VIPER ETF 922042858 2200 61321 SH DEFINED 1 2200 Vanguard Europe Pacific ETF ETF 921943858 3583 118926 SH DEFINED 1 3583 Vanguard Short-Term Corporate FDS SHRT-TERM CORP 92206C409 2341 30167 SH DEFINED 1 2341 Vanguard Total Bond Market ETF INDEX FD INC TOTAL BND MRKT 921937835 849 10146 SH DEFINED 1 849 Vanguard Total International S FD INTL 921909768 375 9270 SH DEFINED 1 375 Western Asset Emerging Markets COM 95766E103 296 23358 SH DEFINED 1 296 WHITING PETROLEUM CORP PERP PFD CONV 966387201 851 5071 SH DEFINED 1 851 WisdomTree India Earnings Fund INDIA ERNGS FD 97717W422 2616 144155 SH DEFINED 1 2616