Full text of KOREA INVESTMENT & SECURITIES AMERICA, INC.'s X-17A-5 filed 2024-02-28 (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 Korea Investment & Securities US, Inc.) 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** OMS APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-52615 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01101123 AND ENDING 12131123 ---------- ----------- MM/DD/VY MM/DD/VY #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : KOREA INVESTMENT & SECURITIES AMERICA, INC. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D 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 | NY | | 10019 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | HOON SULL | hoonsull@kisamerica.com<br>212-314-0685 | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | 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) | | | 08/16/11 | 5519 | | | | | rte of Registration with PCAOB)I" applkable) FOR OFFICIAL USE ONL V | (PCAOB Reg•tratlon "" mbe,, 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}------------------------------------------------ #…Read the full text as markdown