Full text of CHARDAN CAPITAL MARKETS LLC's X-17A-5 filed 2024-04-12 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | stimated average burden | | |-------------------------|----| | ours per response: | 12 | | SEC FILE NUMBER | | | | | OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 E h 8-65277 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2023 FILING FOR THE PERIOD BEGINNING 01/01/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Chardan Capital Markets LLC TYPE OF REGISTRANT (check all applicable boxes): = Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 17 State Street, Suite 2130 (No. and Street) New York NY 10004 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Steven Urbach 646-465-9003 surbach@chardan.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Crowe LIP (Name - if individual, state last, first, and 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, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | | Steven Urbach | swear (or affirm) that, to the best of my knowledge and belief, the | |-------|--------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | 12/31 | financial report pertain…Read the full text as markdown