Full text of TRADEUP SECURITIES, INC.'s X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | FILING FOR THE PERIOD BEGINNING 01/01/23<br>ANDENDING 12/31/23 | | |----------------------------------------------------------------|--| |----------------------------------------------------------------|--| | | | (No. and Street) | | | | |--------------------------------------------------|--|------------------------------------------------------------|--------------------------------------------|-------------------------|--| | New York | | NY | | 10022 | | | (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 | | | | | 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 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | {1}------------------------------------------------ | swear (or affirm) that, to the best of my knowledge and belief, the<br>I. Youqing Liu | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of TradeUP Securities Inc.<br>as of | | 12/31<br>2023 _ jis 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<br>as that of a customer. | | | | Signature:<br>28 | | | | Title:<br>CHENRUO QU<br>CHO | | NOTARY PISBLIC<br>STATE OF NEW JERSEY | | MY COMMISSION EXPIRES OCT. 02, 2020 NOVI TO an a<br>Notary Public | | 502 5-1962 | | 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 Regulation S-X). | | [d) Statement of cash flows.<br>[e] Statement of changes in stockholders' or…Read the full text as markdown