Full text of TRADEUP SECURITIES, INC.'s X-17A-5 filed 2023-03-13 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |-----------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------|--------------------------------------------| | filing for the period beginning 01/01/22 | | 12/31/22<br>AND ENDING | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: TradeUP Securities Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 101 Eisenhower Pkwy #105 | | | | | | (No. and Street) | | | | Roseland | NJ | | 07068 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Youqing Liu | 6469785186 | | youqing.liu@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 | | | 11797 | | (Address)<br>10/8/2003 | (City) | (State)<br>339 | (Zip Code) | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | * Claims for avampion from the requirement that the sonunly the reported by the reports of an informant public | FOR OFFICIAL USE ONLY | | | {1}------------------------------------------------ | UN IT UN ALLINMATIUN | |-------------------------------------------------------------------------------------------------------------------------------------| | swear (or affirm) that, to the best of my knowledge and belief, the<br> Youging Liu | | financial report pertaining to the firm of TradeUP Securities Inc.<br>as of as as of | | 2022 j, is true and correct. I further swear (or affirm) that neither the company nor any<br>12/31 | | 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: | | | | SHEYLA LESMEZ PORRAS | | NOTARY PUBLIC OF NEW JERSE<br>OTAL | | MY COMMISSION EX…Read the full text as markdown