Full text of SHINHAN SECURITIES AMERICA, INC.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A Wholly Owned Subsidiary of Shinhan Securities Co., Ltd.) Statement of Financial Condition December 31, 2022 (With Report ofindependent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 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 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2022** MM/DD/VY AND ENDING **12/31/2022** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : SHINHAN SECURITIES AMERICA INC. TYPE OF REGISTRANT {check all applicable boxes}: 0 Broker-dealer □ Security-based swap dealer D 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 SOONGHO HAHN 212-397-0792 SAM.HAHN@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 RIDEGEFIELD PARK **NJ** 07660 (Address) (City) (State) (Zip Code) 08/16/2011 5519 **rte of Regktratioo with PCAOB** )(If **applicable) FOR OFFICIAL USE ONLY (PCAO B Re~stratioo N,mb", If applicable)** I \* 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 ofthe 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** | 1. | SOONGHO HAHN | | |----|--------------|--| | | | | I, SOONGHO HAHN swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of SHINHAN SECURITIES AMERI…Read the full text as markdown