Full text of KEMPEN & CO U.S.A., INC.'s X-17A-5 filed 2021-02-19 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## KEMPEN & CO. U.S.A., INC. ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III ## SEC FILE NO. 8-48389 ## YEAR ENDED DECEMBER 31, 2020 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ llNfTl'.O STA TES SECURITIES ANO t:XC-IIANGf; COMMIS-'ilON **" '111tin11on,** D.C. 20~ 9 #### **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | | OMO i>l>PROVA.l | | |------------|---------------------------|----------------| | OMS Number | | 3235-0123 | | | Exl>"'OS Octob8< 31. 2023 | | | | E.11ma,eo average but | | | r'Olls~,e | | 12 00 | | | | SEC FLE NUMBER | | | a.a3e1 | | | | | | #### **FACING PAGE Information Rtquirtd** of **Brokers and Dealers Pursuant to Stction 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | _<br>REPORT FOR Tl-IE PERIOD BEGINNING | __<br>__;:0:.:,1:.:I0:.:,112=02:.,0:__ ___ | AND ENDING ___ | __<br>.,_12,::13-"-1.:.:.12,:.:0,_,2~0 | |--------------------------------------------------------------------------|-----------------------------------------------|----------------|----------------------------------------| | | MMJt>D/VYYY | | MM>DD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER | | | | | Kempen & Co. U.S.A .• Inc. | | | OFFICIAl USE ONLY | | | | | FIRM IO. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do 1101 use P 0 . Bo~ No.: | | | | | | 880 Thira Avenue. 17th Floor<br>(No and SuttO | | | | | | | | | NEWYORK | NY | | 10022 | | | (Sutt) | | (LpCodc) | | NAME AND TELEPHONE NUM:OF.R OF PERSON TO CONTACT lN REGARD TO nus REPORT | | | | | John McGowan | | | 212-376-0132 | | | | | tArt11 ('odc - 'rtleohont No } | | | 8. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained ,n 1hi! Rcpon• | | | | | Friedman LLP | | | | | | | | | | 100 Eagle Rock Avenue Surte 200 | Easr Hanover | NJ | 07936 | | | | | | CHECK QI\;£: f!l Cerufied Public Accounlanl O l'ubhc ACWWlWII 0 ACCOWttanl oot resident ,n lJn,wd Stolts or **any** of its possessions # I **FOR OFF[¢1AL USE ~NL Y** *•rta11,u /br tumptwn /rum tlw rtqutremrnt 1/w1* ,N *unnwul* rt/J<Jrl *h, L·ovrrtd h\_v 1hr opmi'on of an i,Kkprndttll pt,t,l,c a,xo1m1m11 ,,,us, be- suppQnrd hJ, o s1u,~mr:n1 uf* fo<·u *and nrn,ms..tanc:rs rd,~d on* w *ti.• hw·,1 for tht• exrn1p1to1,. s~1 <sup>t</sup> · lVCllu11 }./(). I Ju ..* J(,:J(]). SF.!: 1410 !06-02/ Potentlil **persona who are** to **reepond** to the collectlon of lnf…Read the full text as markdown