Full text of MIZUHO SECURITIES USA LLC's X-17A-5 filed 2019-11-08 (period 2019-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Consolidated Statement of Financial Condition March 3l, 2019 With Report of Independent Registered Public Accounting Firm  {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X.17A.5 PART III ### FACING PAGE # Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REpoRT FOR THE pERIOD BEGTNNTN6 04t01t2018 | | | AND ENDING 0313112019 | | | |--------------------------------------------------------------------------|------------------------------------------------------|---------|-----------------------------|--|--| | | l\illvl/DD//Y | | IVIM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: Mizuho Securities USA LLC | | | oFtrrcrAr ltstr oNt Y | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | trlP]\t ln Nr) | | | | | 320 Park Avenue | | | | | | | (No. and Street) | | | | | | Naw York | New Vnrk | | lnntt | | | | (Cify) | (State) | | (ZiP Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | David Kronenberg | (212) 209-9499 | | | | | | | | | (Area Code - Telephone No.) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Ernst & Younq LLP | | | | | | | | (Name - of individual. state last,frst, middle nane) | | | | | | 5 Times Square | New York | NY | 1 0036 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | M Certified Public Accountant<br>E Public Accountant | | | | | | | E Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | \*Claimsfor exemptionfrom the requiremenl lhat the annual report be covered by the opinion ofan independent public accountqnt mustbesupportedbyaslatementoffactsandcircumstancesreliedonasthebasisfortheexemption. SeeSection2a0.lTa-5(e)(2) Potential persons who are to respond to the collection of information contained in this form are not required to respond SEC 1410 (06-02) unless the form displays a currently valid OMB control number. OMB APPROVAL OMB Number: 3235-0123 Expires: August31,2020 Estimated average burden hoursoerresoonse. .. .. 12.00 | SEC FILE NUMBER | | |-----------------|--| | 8-3771 0…Read the full text as markdown