Full text of CHARDAN CAPITAL MARKETS LLC's X-17A-5 filed 2023-04-07 (period 2022-12-31). 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, 2022* {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | | OMB APPROVAL | | | |------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------|----------------------------|--| | | Washington, D.C. 20549 | OMB Number: | 3235-0123 | | | | | Expires: | October 31, 2023 | | | | | EstImated average burden | | | | | | hours per response | 12.00 | | | | ANNUAL AUDITED REPORT | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | | | | PART III | | 8-65277 | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | REPORT FOR THE PERIOD BEGINNING ---------- | | 01/01/2022 | 12/31/2022 | | | | MM/DD/YY | | MM/DD/Y Y | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM: Chardan Capital Markets LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>&Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □Security-based swap dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>17 State Street, Suite 2130 | | | | | | New York | (No. and Street)<br>NY | | 10004 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Steven Urbach | 646-465-9003 | | surbach@chardan.com | | | | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Crowe LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 485 Lexington Avenue, 11th Floor | New York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/24/2003 | | | 173 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | {2}------------------------------------------------ - - - - - - - - - - - - - - - - - - - - - - - - - - {3}------------------------------------------------  #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Members of the…Read the full text as markdown