Full text of HARDCASTLE TRADING USA L.L.C.'s X-17A-5 filed 2021-09-28 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 August 31, 2020 Expires: Estimated average burden hours per response .. . . . . . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-65889 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | AND ENDING 6/30/2021 | | |-------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | MM/DD/YY | | MM/DD/YY | | | | | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | (No. and Street) | | | | NJ | | 07094 | | (State) | | (Zip Code) | | | | 201-305-8815 | | | | (Area Code - Telephone Number) | | | | | | | | | | | | 10017 | | (City) | (State) | (Zip Code) | | | | | | | REPORT FOR THE PERIOD BEGINNING 07/1/2020<br>755 Secaucus Road, Suite F1110<br>Citrin Cooperman & Company, LLP<br>New York | A. REGISTRANT IDENTIFICATION<br>NAME OF BROKER-DEALER: Hardcastle Trading USA, LLC<br>NAME AND TEEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNT ANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first, middle name)<br>NY<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | \*Claims for exemption from 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 240.17a-5(c)(2) > Potential 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 con…Read the full text as markdown