0001317346-17-000002.txt : 20170202 0001317346-17-000002.hdr.sgml : 20170202 20170202112955 ACCESSION NUMBER: 0001317346-17-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170202 DATE AS OF CHANGE: 20170202 EFFECTIVENESS DATE: 20170202 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: 17567317 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 12-31-2016 12-31-2016 OTA Financial Group L.P.
1 MANHATTANVILLE ROAD PURCHASE NY 10577
13F HOLDINGS REPORT 028-11283 N
John Hanratty Chief Compliance Officer 914-460-4099 John Hanratty Purchase NY 04-30-2014 2 54 191206 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA SWAPS LLC
INFORMATION TABLE 2 Q42016.xml ABERDEEN ASIA PAC INC FD COM 003009107 707 152907 SH DFND 2 707 0 0 ALLIANZGI CONVERTIBLE & INCO COM 018828103 381 59722 SH DFND 2 381 0 0 AIG WARRANT STRIKE 45 *W EXP 01/19/202 026874156 7200 306935 SH DFND 2 7200 0 0 ARCONIC INC PFD CONV B SER 1 03965L308 2077 68914 SH DFND 2 2077 0 0 BANK OF AMERICA CORPORATION WT EXP 011619 *W EXP 01/16/201 060505146 7360 739700 SH DFND 2 7360 0 0 B/E AEROSPACE INC COM 073302101 4609 76577 SH DFND 2 4609 0 0 BLACKROCK LIMITED SHS 09249W101 368 24281 SH DFND 2 368 0 0 CALAMOS CVT AND HIGH INCOME SHS 12811P108 231 21896 SH DFND 2 231 0 0 CALAMOS DYNAMIC CONVERTIBLE COM 12811V105 205 11741 SH DFND 2 205 0 0 CAPITAL ONE FINANCIAL CORP *W EXP 11/14/201 14040H139 2029 44906 SH DFND 2 2029 0 0 CARNIVAL PLC-ADR ADR 14365C103 844 16498 SH DFND 2 844 0 0 CENTRAL GARDEN AND PET CO-A CL A NON-VTG 153527205 448 14516 SH DFND 2 448 0 0 COHEN & STEERS REIT & PFD COM 19247X100 273 14323 SH DFND 2 273 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 247 13023 SH DFND 2 247 0 0 EATON VANCE FLOAT RT INC TR COM 278279104 391 26255 SH DFND 2 391 0 0 EATON VANCE T/A GL DVD INCM COM 27828S101 209 14882 SH DFND 2 209 0 0 EATON VANCE TAX MAN GLBL BR COM 27829C105 1274 126563 SH DFND 2 1274 0 0 EATON VANCE TAX-MANAGED GLOB COM 27829F108 455 56742 SH DFND 2 455 0 0 ENBRIDGE ENERGY PARTNERS COM 29250R106 289 11360 SH DFND 2 289 0 0 FIRST TRUST ENERGY INCOME AN COM 33738G104 294 11105 SH DFND 2 294 0 0 GABELLI EQUITY TRUST COM 362397101 209 37924 SH DFND 2 209 0 0 GABELLI DIVIDEND & INCOME COM 36242H104 598 29851 SH DFND 2 598 0 0 HILTON COM 43300A104 1082 39802 SH DFND 2 1082 0 0 INVESCO DYNAMIC CREDIT OPP COM 46132R104 350 28514 SH DFND 2 350 0 0 ISHARES IBOXX USD HIGH YIELD ETF 464288513 1205 13927 SH DFND 2 1205 0 0 ISHARES MSCI SINGAPORE CAPPE ETF 46434G780 438 21996 SH DFND 2 438 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 29458 665439 SH DFND 2 29458 0 0 LIBERTY BROADBAND-C COM SER C 530307305 6126 82712 SH DFND 2 6126 0 0 LIBERTY EXPEDIA HOLD-A COM 53046P109 1516 38226 SH DFND 2 1516 0 0 LIBERTY VENTURES - SER A LBT VEN COM A NE 53071M856 7256 196812 SH DFND 2 7256 0 0 LIBERTY MEDIA COR-SIRIUSXM A COM A SIRIUSXM 531229409 2751 79698 SH DFND 2 2751 0 0 LIBERTY MEDIA COR-SIRIUSXM C COM A SIRIUSXM 531229607 6734 198531 SH DFND 2 6734 0 0 LIBERTY TRIPADVISOR HDG-A COM SER A 531465102 781 51939 SH DFND 2 781 0 0 NORTHSTAR REALTY FINANCE COM 66704R803 2478 163589 SH DFND 2 2478 0 0 NUVEEN ENH MUNI VALUE FD COM 67074M101 210 15048 SH DFND 2 210 0 0 PNC FINANCIAL SERVICES GROUP *W EXP 12/31/201 693475121 30471 615580 SH DFND 2 30471 0 0 POTASH CORP OF SASKATCHEWAN COM 73755L107 3533 195303 SH DFND 2 3533 0 0 POWERSHARES INDIA PORTFOLIO INDIA PORT 73935L100 927 48100 SH DFND 2 927 0 0 POWERSHARES SENIOR LOAN SENIOR LN PORT 73936Q769 382 16385 SH DFND 2 382 0 0 RAMCO-GERSHENSON PROPERT PERP PFD-D CV 751452608 4157 67839 SH DFND 2 4157 0 0 ROYCE VALUE TR INC COM 780910105 238 17849 SH DFND 2 238 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 4869 518632 SH DFND 2 4869 0 0 SPROTT PHYSICAL SILVER TRUST UNIT 85207K107 1318 216866 SH DFND 2 1318 0 0 SUFFOLK BANCORP COM 864739107 880 20555 SH DFND 2 880 0 0 T-Mobile US Inc CONV PFD SER A 872590203 41732 441896 SH DFND 2 41732 0 0 TEMPLETON GLBL INC F INC COM 880198106 625 96483 SH DFND 2 625 0 0 TWENTY-FIRST CENTURY FOX - B CL B 90130A200 635 23303 SH DFND 2 635 0 0 VANECK VECTORS HIGH-YIELD MU ETF 92189F361 752 25350 SH DFND 2 752 0 0 VANECK VECTORS AMT-FREE INTE ETF 92189F544 494 21327 SH DFND 2 494 0 0 VOYA GLOBAL EQUITY DIVIDEND COM 92912T100 698 102971 SH DFND 2 698 0 0 VOYA PRIME RATE TRUST SH BEN INT 92913A100 376 67947 SH DFND 2 376 0 0 WELLS FARGO & CO *W EXP 10/28/201 949746119 6379 299092 SH DFND 2 6379 0 0 WESTERN ASSET EMERGING MARKE COM 95766A101 807 54915 SH DFND 2 807 0 0 WESTERN GAS EQUITY PARTNERS COMUNT LTD PT 95825R103 850 20091 SH DFND 2 850 0 0