Full text of CHARDAN CAPITAL MARKETS LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CHARDAN CAPITAL MARKETS, LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 {1}------------------------------------------------ | UNITED STATES | |-----------------------------------| | SECURITJESAND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | | 8 -65277 | | |------------|--------------------------|-------------------------------| | | | SEC FILE NUMBER | | | | hours p1ir response .•• 12.00 | | | Estimated average burden | | | | Expires: August 31, 2020 | | | OMBNumber: | | 3235-0123 | | | 0MB APPROVAL | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 <:I the **Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01/01/2019<br>AND ENDING | | 12/31/2019 | | | |---------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|---------|----------------------------|--|--| | | MM/00/YYYY | | MM/DD/YYYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | | | | | | | CHAR DAN CAPITAL MARKETS LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSI NESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | | | 17 STATE STREET, SUITE 2100 | | | | | | | (No. aid Street) | | | | | | NEW YORK | NY | | 10004 | | | | (City) | (state) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | MR. STEVEN URBACH | | | (646) 465-9003 | | | | | | | (Area Code-- TeiephoneNo.) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANTwhoseopinion is contained in this Report* | | | | | | | ALVAREZ & ASSOCIATES, INC. Certified Public Accountants | | | | | | | | (Name- if individual, sele /mi, fir&, rriddle narre) | | | | | | 9221 CORBIN AVE., SUITE 165 | NORTH RIDGE | CA | 91324 | | | | (Address) | (City) | (Stcte) | (Zip Code) | | | | CHECK ONE:<br>[:9 Ce1:ifia::1 Public Accountmt<br>0 Public Accountant<br>D<br>Accountant not resident in United States or any of its po~ons | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | • Claims for exerrptfon from the ra::tuirement that the annual report be covered by the opinion of an independent public accountant must be &1pported by a siatem:int of facts and circumstances relied on as the basis for th…Read the full text as markdown