0001425475-12-000006.txt : 20120210 0001425475-12-000006.hdr.sgml : 20120210 20120210112740 ACCESSION NUMBER: 0001425475-12-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120210 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: 12590402 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 form13fotafg4th2011.txt 13F-HR OTA FINANCIAL GROUP LP 4TH QUARTER 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: December 31, 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 February 10, 2012 ---------------------------- ----------------------------- ------------------- [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: 102 Form 13F Information Table Value Total: 153,640 (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 ADAMS EXPRESS COMPANY COM 006212104 244 25370 SH DEFINED 1 244 ADVENT CLAYMORE CONV SEC COM 00764C109 620 42095 SH DEFINED 1 620 ADVENT CLAYMORE GLOBAL CONVE INC COM BENE INTER 007639107 517 82184 SH DEFINED 1 517 AGIC EQUITY & CONVERTIBLE IN COM 00119P102 506 32451 SH DEFINED 1 506 ALLIANCEBERNSTEIN INC FUND COM 01881E101 188 23306 SH DEFINED 1 188 ALPINE GLOBAL PREMIER PROPER PPTYS COM SBI 02083A103 699 132012 SH DEFINED 1 699 AMERICA MOVIL S A DE C V SHS 02364W204 407 18106 SH DEFINED 1 407 AMR Corp COM 001765106 32 92900 SH DEFINED 2 32 APACHE CORP COM 037411105 448 4956 SH DEFINED 1 448 BANK OF AMER CRP 7.25%CNV PFD L 060505682 1353 1717 SH DEFINED 1 1353 BANK OF AMERICA CORP WT EXP 011619 *W EXP 01/16/201 060505146 63 31349 SH DEFINED 1 63 BANK OF AMERICA CORP WT EXP 102818 *W EXP 10/28/201 060505153 3 11986 SH DEFINED 1 3 BARCLAYS BANK PLC PLC ADR 2 PREF 2 06739F390 201 10986 SH DEFINED 1 201 BEAZER HOMES USA NT SUB7.5%2013 07556Q402 904 68490 SH DEFINED 1 904 BHP BILLITON LTD ADR ADR 088606108 871 12344 SH DEFINED 1 871 BIOMARIN PHARMACEUTICAL NOTE 2.500% 3/2 09061GAC5 4202 20000 SH DEFINED 1 4202 BLACKROCK CORPORATE HY FD VI COM 09255P107 589 51807 SH DEFINED 1 589 BLACKROCK ENH CAP AND INC COM 09256A109 527 42866 SH DEFINED 1 527 BLACKROCK ENHANCED EQUITY DI COM 09251A104 513 72599 SH DEFINED 1 513 BLACKROCK INCOME OPPORTUNITY COM 092475102 148 14546 SH DEFINED 1 148 BLACKROCK INTERNATIONAL GROW COM BENE INTER 092524107 683 95468 SH DEFINED 1 683 BORGWARNER INC NOTE 3.500% 4/1 099724AF3 36627 188560 SH DEFINED 1 36627 CARNIVAL PLC-ADR ADR 14365C103 378 11496 SH DEFINED 1 378 CENTRAL GOLDTRUST TR UNIT 153546106 1112 18801 SH DEFINED 1 1112 CITIGROUP INC *W EXP 01/04/201 172967226 44 153733 SH DEFINED 1 44 CITIGROUP INC *W EXP 10/28/201 172967234 8 164368 SH DEFINED 1 8 CITIGROUP INC COM 172967424 947 36010 SH DEFINED 1 2 947 CLEARBRIDGE ENERGY MLP FUND COM 184692101 1167 52033 SH DEFINED 1 1167 CLEARBRIDGE ENERGY MLP OPPOR COM 18469P100 278 14612 SH DEFINED 1 278 CLOUGH GLBL OPPORTUNITIES FD SH BEN INT 18914E106 702 66480 SH DEFINED 1 702 CLOUGH GLOBAL ALLOCATION FD FUN COM SHS BEN IN 18913Y103 519 40754 SH DEFINED 1 519 COHEN & STEERS GLOBAL INCOME COM 19248M103 510 54943 SH DEFINED 1 510 EATON VANCE ENH EQT INC II COM 278277108 525 51444 SH DEFINED 1 525 EATON VANCE ENHANCED EQ INCM COM 278274105 513 50444 SH DEFINED 1 513 EATON VANCE FLOAT RT INC TR COM 278279104 186 13106 SH DEFINED 1 186 EATON VANCE INSURED MUNI BON COM 27827X101 207 16400 SH DEFINED 1 207 EATON VANCE RISK-MANAGED DIV COM 27829G106 914 87476 SH DEFINED 1 914 EATON VANCE TAX ADV GL DVD O COM 27828U106 510 30050 SH DEFINED 1 510 EATON VANCE TAX-MANAGED DIVE COM 27828N102 568 64058 SH DEFINED 1 568 EATON VANCE TAX-MANAGED GLOB COM 27829F108 514 62306 SH DEFINED 1 514 ENBRIDGE ENERGY PARTNERS COM 29250R106 897 27039 SH DEFINED 1 897 ENERGY SELECT SECTOR SPDR SPDR TR SBI INT-ENERGY 81369Y506 396 5734 SH DEFINED 1 396 FIRST TR/FIDUCIARY ASSET COM 337318109 509 47001 SH DEFINED 1 509 FORD MOTOR CO *W EXP 01/01/201 345370134 123 51368 SH DEFINED 1 123 FORD MOTOR CO CALL 345370900 238 17000 SH DEFINED 2 238 GENERAL MOTORS CO *W EXP 07/10/201 37045V118 2214 188761 SH DEFINED 1 2214 GENERAL MOTORS CO *W EXP 07/10/201 37045V126 402 51451 SH DEFINED 1 402 H & Q LIFE SCIENCES INVSTRS SH BEN INT 404053100 184 16118 SH DEFINED 1 184 HIGHLAND CREDIT STRATEGIES F COM 43005Q107 518 83880 SH DEFINED 1 518 INDIA FUND INC COM 454089103 1187 62382 SH DEFINED 1 1187 ING GLOBAL EQUITY & PR OPPT COM 45684E107 396 45868 SH DEFINED 1 396 INGERSOLL-RAND GL HLD CO NOTE 4.500% 4/1 45687AAD4 8562 50000 SH DEFINED 1 8562 ISHARES BARCLAYS 1-3 YEAR CR TR BARCLYS 1-3YR CR 464288646 1585 15215 SH DEFINED 1 1585 ISHARES IBOXX INV GR CORP BD IBOXX INV CPBD 464287242 1089 9577 SH DEFINED 1 1089 ISHARES INC MSCI BRAZIL 464286400 535 9337 SH DEFINED 1 535 ISHARES INC MSCI TAIWAN 464286731 576 49221 SH DEFINED 1 576 ISHARES MSCI EAFE GROWTH INX TR MSCI GRW IDX 464288885 1810 34807 SH DEFINED 1 1810 ISHARES MSCI JAPAN INDEX FD MSCI JAPAN 464286848 2081 228434 SH DEFINED 1 2081 ISHARES MSCI MALAYSIA MSCI MALAYSIA 464286830 854 63749 SH DEFINED 1 854 ISHARES MSCI PACIFIC EX JPN MSCI PAC J IDX 464286665 2332 59924 SH DEFINED 1 2332 ISHARES MSCI SOUTH AFRICA IN MSCI STH AFRCA 464286780 257 4210 SH DEFINED 1 257 ISHARES MSCI SOUTH KOREA MSCI S KOREA 464286772 562 10759 SH DEFINED 1 562 ISHARES S&P EUROPE 350 TR S&P EURO PLUS 464287861 319 9458 SH DEFINED 1 319 ISHARES S&P INDIA NIFTY 50 I TR S&P INDIA 50 464289529 1715 86883 SH DEFINED 1 1715 ISHARES SILVER TRUST ISHARES 46428Q109 434 16128 SH DEFINED 1 434 JAPAN SMALLER CAPITALIZATION COM 47109U104 705 98191 SH DEFINED 1 705 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 195 22995 SH DEFINED 1 195 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 2103 24763 SH DEFINED 1 2103 LIBERTY ALL STAR EQUITY FUND FD SH BEN INT 530158104 220 52152 SH DEFINED 1 220 LIBERTY GLOBAL INC-C COM SER C 530555309 290 7357 SH DEFINED 1 290 MAXIS NIKKEI 225 INDEX FUND TR MAXIS NIKKEI 74016W106 351 26900 SH DEFINED 1 351 METLIFE INC COM 59156R108 212 6827 SH DEFINED 1 212 MORGAN STANLEY EMRG MARKETS COM 61744G107 238 18486 SH DEFINED 1 238 NEWS CORP CL B CL B 65248E203 494 27188 SH DEFINED 1 494 NUVEEN BUILD AMERICAN BOND COM 67074C103 340 16583 SH DEFINED 1 340 NUVEEN MULTI-CURRENCY SHORT- COM 67090N109 603 49875 SH DEFINED 1 603 NUVEEN MULTI-ST INC & GTH 2 SHS 67073D102 386 47962 SH DEFINED 1 386 PERITUS HIGH YIELD ETF TR PERITUS HG YLD 00768Y503 729 15354 SH DEFINED 1 729 PETROLEO BRASILEIRO S.A.-ADR ADR 71654V408 438 17637 SH DEFINED 1 438 PIMCO FLOATING RATE COM 72201J104 157 17222 SH DEFINED 1 157 POWERSHARES FNDMTL H/Y CORP ETF TRST FDM HG YLD RAFI 73936T557 352 19086 SH DEFINED 1 352 POWERSHARES FTSE RAFI EM MKT ETF TRST EMER MRKT PORT 73936T763 602 29786 SH DEFINED 1 602 REED ELSEVIER PLC-SPONS ADR ADR 758205207 207 6436 SH DEFINED 1 207 ROYAL DUTCH SHELL PLC PLC SPONS ADR A 780259206 5154 70524 SH DEFINED 1 5154 SPDR BARCLAYS CAPITAL HIGH ETF 78464A417 7855 204306 SH DEFINED 1 7855 SPDR GOLD TRUST SHS 78463V107 3932 25872 SH DEFINED 1 3932 SPDR S&P RUSSIA ETF ETF 78463X558 333 12679 SH DEFINED 1 333 SYNOVUS FINL CORP UNIT 99/99/9999 87161C204 142 10306 SH DEFINED 1 142 TORTOISE MLP FUND INC COM 89148B101 371 14416 SH DEFINED 1 371 TripAdvisor Inc COM 896945201 2059 81706 SH DEFINED 1 2059 UNILEVER PLC NEW ADR ADR 904767704 1084 32359 SH DEFINED 1 1084 VALE CAPITAL II CV 6.75%12 91912F201 4492 75000 SH DEFINED 1 4492 VANGUARD EMERG MARKETS VIPER ETF 922042858 6109 159880 SH DEFINED 1 6109 VANGUARD INTL EQTY INDX ETF 922042874 6186 149323 SH DEFINED 1 6186 VANGUARD MSCI PACIFIC ETF ETF 922042866 497 10450 SH DEFINED 1 497 VULCAN MATERIALS CO COM 929160109 253 6448 SH DEFINED 1 253 WELLS FARGO & CO *W EXP 10/28/201 949746119 103 12086 SH DEFINED 1 103 WESTERN ASSET EMERGING MARKE COM 95766A101 229 12151 SH DEFINED 1 229 WESTERN ASSET HIGH INC FD II COM 95766J102 679 70517 SH DEFINED 1 679 WESTERN ASSET MANAGED HIGH Y COM 95766L107 62 10389 SH DEFINED 1 62 WHITING PETROLEUM CORP NEW PERP PFD CONV 966387201 2268 10308 SH DEFINED 1 2268 WILLIAMS COMPANIES DEL COM 969457100 13488 408501 SH DEFINED 1 13488