Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### ANNUAL AUDITED REPORT FORM X-17A-5 PART III #### SEC FILE NO. 8-65981 #### YEAR ENDED DECEMBER 31, 2019 AND #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ UNJTEDSTATES SECURITII<:SAND EXCHANGE COMMISSION Washington, D.C. 20549 #### ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll | OMB Number: | 3235·0123 | |-------------|--------------------------| | Expires: | August 31, 2020 | | | Estimated average burden | | | ~e_erresponse 12.00 | | | | 8-65981 SEC FILE NUMBER - OMB APPROVAL FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Sccu ritics Ex cha ngc Act of l 934 and Ru le 17a-5 Thereunder | REPORT J•OR THE PERIOD BEGINNING January | 1,<br>2019<br>MM/DD/YY | AND ENDING December | 31,<br>2019<br>MM/DD/YY | | | |----------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------------------------------------|----------------------------------------------------|--|--| | A. REGISTRANT | IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: UOB<br>Kay<br>Hian<br>(U.S.)<br>Inc. | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do<br>nol use P.O. Box No.)<br>111<br>Dunnell<br>Road,<br>Suite<br>201 | | | FIRM 1.D. NO. | | | | | (No and Street) | | | | | | Maplewood | New Jersey | 07040 | | | | | (Cily) | (SlRlc) | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT<br>AlhenaKwai | | JN REGARD TO THIS REPORT<br>973-31l-2400 | ---<br>---<br>--<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT | IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is<br>Friedman<br>LLP | (Name - if indfridu(I/, state los1, firs I, middle nom~) | contained in this Report• | | | | | 100 Eagle<br>Rock<br>Avenue<br>Suite<br>200 | East<br>Hanover | New | 07936 | | | | (Address) | (City) | Jersey<br>(Stutc) | | | | | CHECK ONE:<br>I/'<br>!certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | (Zip Code) | | | | | | | 1 | | | *•Claims for exemption from the requirement that /he annual report be covered by !ht• opinion of an independent public acco11nlant must be supporled by a statement offacts and circumstances relied* 011 *as the bas…Read the full text as markdown