Full text of SHINHAN SECURITIES AMERICA, INC.'s X-17A-5 filed 2024-02-29 (period 2023-12-31). 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, 2023 (With Report oflndependent 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: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-45648 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** MM/DD/VY AND ENDING 12131 **f2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: SHINHAN SECURITIES AMERICA INC. TYPE OF REGISTRANT (check all applicable boxes): □ Broker-dealer □ Security-based swap dealer □ 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.) 750 7TH AVENUE, SUITE 2602 (No. and Street) NEW YORK NY 10019 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING CHANBUM KIM 212-397-0792 cb.kim@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 **Ir• of Regl>t1atloo with PCAOBJ(lf applicable) FOR OFFICIAL USE ONLY (PCAOB Registcatloo N"mbeT,** 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 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** | | 2~<br>financial report pertaining to the firm of SHINHAN SECURITIES AMERICA INC. | as of | |------|---------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown