Full text of SHINHAN INVESTMENT AMERICA INC.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A Wholly Owned Subsidiary of Shinhan Investment Corp.) Statement of Financial Condition December 31, 2021 (With Report oflndependent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-45648 **Information Required Pursuant to Rules 17a-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2021** MM/DD/YY AND ENDING **12/31/2021** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_S\_H\_I\_N\_H\_A\_N\_ I N\_V\_E\_S\_T\_M\_E\_N\_T\_A\_M\_E\_R\_I\_C\_A\_I\_N\_C\_. ----- TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1325 AVENUE OF THE AMERICAS, SUITE 2002A (No. and Street) NEW YORK NY 10019 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING JUN YOUNG KIM 212-397-0792 JKIM@SHINHAN-USA.COM (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* SEJONG LLP (Name - if individual, state last, first, and middle name) 65 CHALLENGER ROAD, SUITE 250 RIDGEFIELD PARK **NJ** 07660 (Address) (City) (State) (Zip Code) 08/16/2011 5519 (Date of Registration with PCAOB)(lf applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}------------------------------------------------ ### **OATH OR AFFIRMATION** | | swear (or affirm) that, to the best of my knowledge and belief, the<br>I, JUN YOUNG KIM | | | | | |--------|------------------------------------------------------…Read the full text as markdown