0001317346-16-000008.txt : 20160527 0001317346-16-000008.hdr.sgml : 20160527 20160527134508 ACCESSION NUMBER: 0001317346-16-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160527 DATE AS OF CHANGE: 20160527 EFFECTIVENESS DATE: 20160527 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: 161681498 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 03-31-2016 03-31-2016 OTA Financial Group L.P.

1 MANHATTANVILLE ROAD PURCHASE NY 10577

13F HOLDINGS REPORT 028-11283 N John Hanratty 914-460-4099 John Hanratty Purchase NY 05-27-2016 2 55 57584 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA SWAPS LLC INFORMATION TABLE 2 Q12016.xml MARKET VECTORS ETF TR ETF 57060U753 247 11849 SH DFND 2 247 0 0 LIBERTY MEDIA CORP DELAWARE CL A 531229102 2271 58797 SH DFND 2 2271 0 0 MARKET VECTORS AMT-FREE INTERM ETF 57060U845 533 22044 SH DFND 2 533 0 0 AETNA INC COM 00817Y108 2033 18097 SH DFND 2 2033 0 0 ALCOA INC COM 013817101 630 65763 SH DFND 2 630 0 0 ALERE INC COM 01449J105 1204 23800 SH DFND 1 1204 0 0 AMERICA MOVIL S A DE C V SPON ADR A SHS 02364W204 345 22308 SH DFND 2 345 0 0 ARRAY BIOPHARMA INC PUT 04269X955 650 216800 SH DFND 1 2 650 0 0 BAXALTA INC COM 07177M103 1996 49424 SH DFND 2 1996 0 0 BHP BILLITON PLC SP ADR SPONSORED ADR 05545E209 377 16589 SH DFND 2 377 0 0 BLACKROCK CORPORATE HIGH YIE COM 09255P107 495 49719 SH DFND 2 495 0 0 BLACKROCK MUNI INTERM DURATI COM 09253X102 249 17025 SH DFND 2 249 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 2845 42437 SH DFND 2 2845 0 0 CARNIVAL PLC-ADR ADR 14365C103 870 16031 SH DFND 2 870 0 0 CBRE CLARION GL R/E INCOME F COM 12504G100 238 30562 SH DFND 2 238 0 0 CIGNA CORP COM 125509109 2970 21647 SH DFND 2 2970 0 0 DISCOVERY COMMUNICATIONS-C COM SER C 25470F302 452 16744 SH DFND 2 452 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 322 19210 SH DFND 2 322 0 0 DU PONT (E.I.) DE NEMOURS COM 263534109 3162 49946 SH DFND 2 3162 0 0 EATON VANCE TAX ADVANTAGE COM 27828G107 276 14427 SH DFND 2 276 0 0 EATON VANCE TAX MAN GLBL BR COM 27829C105 243 23099 SH DFND 2 243 0 0 EATON VANCE TAX-MANAGED DIVE COM 27828N102 241 22650 SH DFND 2 241 0 0 EXELON CORP COM 30161N101 398 11115 SH DFND 2 398 0 0 FIRST TRUST ENERGY INCOME AN COM 33738G104 330 14310 SH DFND 2 330 0 0 FIRSTMERIT CORP COM 337915102 1410 67026 SH DFND 2 1410 0 0 FRONTIER COMMUNICATIONS PFD CONV SER-A 35906A207 2591 24821 SH DFND 2 2591 0 0 HAWAIIAN ELEC INDS INC COM 419870100 1564 48300 SH DFND 2 1564 0 0 IHS INC-CLASS A CL A 451734107 1269 10225 SH DFND 2 1269 0 0 ISHARES INC ETF 464286731 1371 98977 SH DFND 2 1371 0 0 ISHARES MSCI SINGAPORE ETF ETF 464286673 287 26511 SH DFND 2 287 0 0 JARDEN CORP COM 471109108 865 14679 SH DFND 2 865 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 6060 342420 SH DFND 2 6060 0 0 KINDER MORGAN INC COM 49456B101 261 14642 SH DFND 1 2 261 0 0 LIBERTY ALL STAR EQUITY FUND SH BEN INT 530158104 331 66647 SH DFND 2 331 0 0 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 751 31894 SH DFND 2 751 0 0 NUV QLTY PFD INCOME FD 2 PFD INCOME FD COM 67072C105 380 42323 SH DFND 2 380 0 0 NUVEEN CA AMT-FR MUNI INC FD COM 670651108 252 15782 SH DFND 2 252 0 0 NUVEEN CREDIT STRAT INC FD SHS 67073D102 311 39407 SH DFND 2 311 0 0 NUVEEN INS MUNI OPPTY COM 670984103 353 23996 SH DFND 2 353 0 0 PIMCO DYNAMIC CREDIT INCOME SHS 72202D106 485 27817 SH DFND 2 485 0 0 PNC FINANCIAL SERVICES GROUP *W EXP 12/31/201 693475121 1053 51861 SH DFND 2 1053 0 0 RAMCO-GERSHENSON PROPERT PFD-D CV 751452608 4602 70589 SH DFND 2 4602 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1416 29246 SH DFND 2 1416 0 0 ROYCE VALUE TR INC COM 780910105 320 27410 SH DFND 2 320 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 705 178695 SH DFND 2 705 0 0 SPDR BARCLAYS HIGH YIELD BD BRC HGH YLD BD 78464A417 670 19585 SH DFND 2 670 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 748 74008 SH DFND 2 748 0 0 TORTOISE ENERGY INFRASTRUCTU COM 89147L100 1477 60078 SH DFND 2 1477 0 0 TWENTY-FIRST CENTURY FOX-A CL A 90130A101 473 16968 SH DFND 2 473 0 0 WASTE CONNECTIONS INC COM 941053100 1317 20397 SH DFND 2 1317 0 0 WELLS FARGO & CO *W EXP 10/28/201 949746119 321 20500 SH DFND 2 321 0 0 WESTERN GAS EQUITY PARTNERS COMUNT LTD PT 95825R103 649 18214 SH DFND 2 649 0 0 WILSHIRE BANCORP INC COM 97186T108 578 56181 SH DFND 2 578 0 0 WISDOMTREE INDIA EARNINGS INDIA ERNGS FD 97717W422 722 37035 SH DFND 2 722 0 0 ZILLOW GROUP INC - C CL C CAP STK 98954M200 615 25950 SH DFND 2 615 0 0