Full text of RABO SECURITIES USA, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | L | 10 | |---|----| | | | ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | OMU APPROVAL | | |-------------|--------------|---------------------------| | 0 MB Number | | 3235-0123 | | Expires | | Octob r 31, 2023 | | | | Estimated aver a e burden | | hours | rres | nse 12.00 | | SEC FILE NUMBER | |-----------------| | a-65525 | F p Information R quir d of Broker and D alcr Por U" 11t to ction 17 of the og *ct* of 1934 and Rule I 7a-S Thereunder | RI-r R1 f R TIIE PLRI | ___<br>0_1 /_0_1/_2_0 _ | _ AND RNDI<br>_. | ___ 1_2/_3_1 /_2_0 __<br>_ | | |-------------------------------------------------------------------------|--------------------------------------------------------|-------------------|----------------------------|-------------------------------| | | MMJJ)D/YY | | IM/DD/YY | | | | | | | | | , A E<br>1• BR Kl~R-D -ALER: | Rabo Securities USA, Inc. | | | OFFICIAL USE ONLY | | DORE<br>OF PRI<br>IPAL PLA I::.<br>F 8 | I ·, : (Don I use P.O. Box No.) | | FIRM I.D. NO. | | | 245 Park Avenue, 36th Floor | | | | | | | (No and trcet) | | | | | New York | New York | | 10167 | | | (City) | (, I IC) | | (Ztp Code) | | | AME A D TELEPHONE NUMB · RO · P RSON TO<br>Andrea Mar1ens | ONTA | IN REGARD TO TIii | REPORT | (212) 916-3706 | | | | | | (Arca Code - Telephone umber) | | | B. ACCOUNTANT IDENTIFICATIO | | | | | I DEPE DE T PUBLIC AC O | TANT whose opinion is contained in lhis Report• | | | | | PricewaterhouseCoopers LLP | | | | | | | (Name - if ind1v1d11al. statt la31,firsr, middle name) | | | | | 300 Madison Avenue | New York | | New York | 10017 | | (Address) | (Clly) | ( late) | | (Zip Code) | | CHECK O E: | | | | | | [Z] ertified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United tates or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | *\*Claims/or exemption from the requirement that the annual report be covered by the opinion of an independent public accou111an1 mu.st be supported by a statemenl of Jac/s and circumstances relied* 011 *as the basis/or the exemption.. See Section 240 1 a-5(e)(2)* > Potenllal persons who are to respond to the collecllon of Information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. SEC 1410 (11 -05) {1}------------------------------------------------ #### H R | 1. Kenneth McGrory | | . wear (or affirm) Lh 1, 10 the he t…Read the full text as markdown