Full text of TRADEUP SECURITIES, INC.'s X-17A-5 filed 2022-03-14 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | FILING FOR THE PERIOD BEGINNING 01/01/21 | | | AND ENDING 12/31/21 | | | |------------------------------------------|----------|--|---------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | A DECICTS ARTICLE CATION | | | | | | | | | (No. and Street) | | | | |---------------------------------------------------------------------------------------------|--|------------------------------------------------------------|-----------------|---------------------|--| | Roseland<br>(City) | | NJ | | 07068<br>(Zip Code) | | | | | (State) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | 6469785180<br>Lei Huang | | lei.huang@tradeup.com | | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Mazars USA LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 60 Crossways Park Drive West, Suite 301 | | Woodbury | NY | 11797 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10/8/2003 | | | 339 | | | | | | | | | | {1}------------------------------------------------ | Lei Huang<br>, swear (or affirm) that, to the best of my knowledge and belief, the | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | tinancial report pertaining to the firm of TradeUP Securities Inc.<br>as of<br>12/31<br>2 021 is true and correct. I further swear (or affirm) that neither the company nor any | | | | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | | | | | as that of a customer. | | | | | | | | | | | | Signature: | | | | | | KAMEKO CRAIG<br>litle: | | | | | | NOTARY PUBLIC - STATE OF NEW YORK<br>Acting CEO<br>NO. 01CR6411895 | | | | | | QUALIFIED IN NASSAU COUNTY | | | | | | N EXPIRES 12/07/200<br>Notary Public | | | | | | | | | | | | This filing** contains (check all applicable boxes): | | | | | | (a) Statement of financial condition. | | | | | | (b) Notes to consolidated statement of financial condition. | | | | | | [] {c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of | | | | | | comprehensive income (as defined in § 210.1-02 of…Read the full text as markdown