Full text of CHARDAN CAPITAL MARKETS LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). 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, 2020 {1}------------------------------------------------ | | UNITED STATES | | 0MB Number:<br>3235-0123 | | |---------------------------------------------------------------------------------------------|-----------------------------------------------------------|------------|-------------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | Expires: October 31, 2023<br>Estimated average burden | | | | | | | | | | ANNUAL AUDITED REPORT | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8 - 65277 | | | | PART Ill | | | | | | | | | | | | FACING PAGE | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | REPORT FOR THE PERIOD BEGINNING | -------------<br>01 /01 /2020 | AND ENDING | -----------<br>12/31 /2020 | | | | MM/DD /YYY Y | | MM/DD/YYYY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | | | | | | | OFFICIAL USE ONLY | | | CHARDAN CAPITAL MARKETS LLC | | | FIRM ID. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No. | | | | | | | 17 STATE STREET, SUITE 2100 | | | | | | (No. and 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 -- Telephone No.) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | ALVAREZ & ASSOCIATES, INC. Certified Public Accountants | | | | | | | (Name -- if individual, state last, _{irst, middle name) | | | | | 9221 CORBIN AVE. , SUITE 165 | NORTH RIDGE | CA | 91324 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | [!I Certified Public Accountant | | | | | | D Public Accountant<br>D Accountant not resident in United States or any of its possessions | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | 0MB APPROVAL *\*Claims for exemption fi'om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.1 7a-5(e)…Read the full text as markdown