Full text of KOREA INVESTMENT & SECURITIES 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}------------------------------------------------ # Korea Investment & Securities America, Inc. (A Wholly Owned Subsidiary of Korea Investment & Securities US, Inc.) Statement of Financial Condition December 31, 2021 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ | UNITED STATES | OMB APPROVAL<br>OMB Number: 3235-0123 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | Expires: Oct. 31, 2023<br>Estimated average burden | | | | hours per response: 12 | | | ANNUAL REPORTS | SEC FILE NUMBER | | | FORM X-17A-5 | 8-52615 | | | PART III | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | 01/01/21<br>FILING FOR THE PERIOD BEGINNING<br>AND ENDING | 12/31/21 | | | MM/DD/YY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | Korea Investment & Securities America, Inc.<br>NAME OF FIRM: | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[x Broker-dealer<br>C Check here if respondent is also an OTC derivatives dealer | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 1350 Avenue of the Americas, Suite 1602 | | | | (No. and Street) | | | | New York<br>NY | 10019 | | | (State)<br>(City) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | 212-314-0685<br>Dong Eun Kim | dkim@kisamerica.com | | | (Area Code - Telephone Number)<br>(Name) | (Email Address) | | | B. Accountant Identification | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Sejong, LLP | | | | (Name - if individual, state last, first, and middle name) | | | | 65 Challenger Road, Suite 250<br>Ridgefield Park | NJ<br>07660 | | | (Address)<br>(City) | (Zip Code)<br>(State) | | | 5519 | 8/16/11 | | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | * Claims for exemption from the requirement that the annual reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | OMB APPROVAL CFR…Read the full text as markdown