0001268580-19-000002.txt : 20190520
0001268580-19-000002.hdr.sgml : 20190520
20190520111022
ACCESSION NUMBER: 0001268580-19-000002
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190520
DATE AS OF CHANGE: 20190520
EFFECTIVENESS DATE: 20190520
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11283
FILM NUMBER: 19837889
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001317346
XXXXXXXX
03-31-2019
03-31-2019
true
1
RESTATEMENT
OTA Financial Group L.P.
1 MANHATTANVILLE ROAD
PURCHASE
NY
10577
13F HOLDINGS REPORT
028-11283
N
James Santori
CFO
914-460-4007
James Santori
Purchase
NY
05-20-2019
2
36
116592
false
1
0001268580
028-11280
OTA LLC
2
0001425475
028-12833
OTA SWAPS LLC
INFORMATION TABLE
2
012019.xml
ALPHABET INC-CL A
CL A
02079K305
38962
33106
SH
DFND
2
38962
0
0
ALTABA INC
COM
021346101
5430
73269
SH
DFND
2
5430
0
0
AMERICAN INTERNATIONAL GROUP
W EXP 01/19/202
026874156
376
67045
SH
DFND
2
376
0
0
BROOKFIELD PROPERTY REIT I-A
CL A
11282X103
14766
720667
SH
DFND
2
14766
0
0
CENTENE CORP
COM
15135B101
608
11462
SH
DFND
2
608
0
0
CHARTER COMMUNICATIONS INC-A
CL A
16119P108
11911
34337
SH
DFND
2
11911
0
0
COUSINS PROPERTIES INC
COM
222795106
2680
277447
SH
DFND
2
2680
0
0
DOWDUPONT INC
COM
26078J100
3029
56822
SH
DFND
2
3029
0
0
EXPEDIA GROUP INC
COM
30212P303
1371
11529
SH
DFND
2
1371
0
0
FIDELITY NATIONAL INFO SERV
COM
31620M106
2308
20411
SH
DFND
2
2308
0
0
FIRST DATA CORP- CLASS A
CL A
32008D106
1560
59419
SH
DFND
2
1560
0
0
FOX CORP - CLASS A
COM
35137L105
1398
38088
SH
DFND
2
1398
0
0
GOLDMAN SACHS MLP INCOME OPP
SHS
38147W103
294
36736
SH
DFND
2
294
0
0
GREAT ELM CAPITAL CORP
COM
390320109
552
66870
SH
DFND
2
552
0
0
INVESCO VALUE MUNICIPAL INCO
COM
46132P108
211
14684
SH
DFND
2
211
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
1249
19267
SH
DFND
2
1249
0
0
LENNAR CORP CL B
CL B
526057302
2025
51781
SH
DFND
2
2025
0
0
LIBERTY MEDIA COR-SIRIUSXM A
COM A SIRIUSXM
531229409
2202
57688
SH
DFND
2
2202
0
0
LIBERTY MEDIA COR-SIRIUSXM C
COM C SIRIUSXM
531229607
4627
121002
SH
DFND
2
4627
0
0
LIBERTY TRIPADVISOR HDG-A
COM SER A
531465102
1086
76556
SH
DFND
2
1086
0
0
LSC COMMUNICATIONS INC
COM
50218P107
338
51890
SH
DFND
2
338
0
0
MEDEQUITIES REALTY TRUST INC
COM
58409L306
790
71021
SH
DFND
2
790
0
0
NEWMONT GOLDCORP CORP
COM
651639106
540
15108
SH
DFND
2
540
0
0
NUVEEN FLOATING RATE
SHS
6706EN100
523
54568
SH
DFND
2
523
0
0
PGIM GLOBAL HIGH YIELD FUND
COM
69346J106
379
27192
SH
DFND
2
379
0
0
QTS REALTY TRUST INC
6.50% CON PFD B
74736A301
4591
42270
SH
DFND
2
4591
0
0
ROWAN COMPANIES PLC-A
CL A
G7665A101
760
70513
SH
DFND
2
760
0
0
SPDR SERIES TRUST
BLOOMBERG BRCLYS
78464A417
710
19755
SH
DFND
2
710
0
0
SPRINT CORP
COM
85207U105
1616
286142
SH
DFND
2
1616
0
0
SPROTT PHYSICAL GOLD AND SIL
UNIT
85208R101
1397
112739
SH
DFND
2
1397
0
0
SPROTT PHYSICAL SILVER TRUST
UNIT
85207K107
2110
380950
SH
DFND
2
2110
0
0
SUNTRUST BANKS INC
COM
867914103
2654
44809
SH
DFND
2
2654
0
0
TCF FINANCIAL CORP
COM
872275102
236
11448
SH
DFND
2
236
0
0
VIKING THERAPEUTICS INC
W EXP 04/13/202
92686J114
214
23883
SH
DFND
2
214
0
0
WALT DISNEY CO/THE
COM DISNEY
254687106
1213
10930
SH
DFND
2
1213
0
0
ZIONS BANCORPORATION
W EXP 05/21/202
989701115
1876
144488
SH
DFND
2
1876
0
0