Full text of CHARDAN CAPITAL MARKETS LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5<br>PART Ill | | 0MB APPROVAL<br>0MB Number:<br>3235-0123<br>Expires:<br>Oct. 31, 2023<br>Estimated average burden<br>hours per response<br>12.00<br>SEC FILE NUMBER<br>8-65277 | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------|--------------------------------------------|--| | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | | MM/DD/YY | | MM/00/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: CHARDAN CAPITAL MARKETS LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>!81Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>17 STATE STREET, SUITE 2130 | 0Security-based swap dealer | DMajor security-based swap participant | | | | | | (No. and Street) | | | | | | NEW YORK | NY | | | 10004 | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | (State) | | | (Zip Code) | | | MR. STEVEN URBACH | 646-465-9003 | | | | | | (Name) | (Area Code -Telephone Number) | | surbach@chardan.com<br>(£mail Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing* | | | | | | | ALVAREZ & ASSOCIATES, INC. Certified Public Accountants | (Name - if individual, state last, first, middle name) | | | | | | 9221 CORBIN AVE., SUITE 165 | NORTH RIDGE | CA | | 91324 | | | (Address) | (City) | (State) | | (Zip Code) | | | 10/16/2018 | | | | 6517 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Re…Read the full text as markdown