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