Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5 filed 2021-02-25 (period 2020-12-31). 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, 2020 AND ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | REPORT<br>AUDITED<br>ANNUAL<br>FORM<br>X-17<br>A-5 | | |----------------------------------------------------|--| | PART<br>Ill | | | 0MB APPROVAL | | | | | | |----------------------------|-----------|-----------------|--|--|--| | 0MB Nurrber: | | 3235-0123 | | | | | Expires: October 31 , 2023 | | | | | | | Estimated average burden | | | | | | | hours o<r resoonse 12.00 | | | | | | | | | SEC FILE NUMBER | | | | | | 8 • 65981 | | | | | | | | | | | | #### **FACING PAGE Information Required cl Brokers and Dealers Pur9.Jant to Section 17 cl the Securities Exchange Act cl 1934 and Rule 17a-5 Thereunder** | RER::>RT FOR THE PERIOD BEGINNING | __ cl;:/lc.:./_20'-2;.0 ______ AND ENDING _____ 12 /_31 /_20_2_0_ | | | |---------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|----------------------------| | | MMIDDIYY | | MMIDDIYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | UON Kay Hian (U.S.) Inc | | | OFFICIAL USE ONLY | | | | | FIRM ID. NO. | | ADDRESS OF PRINCIPAL A_ACE OF BUSI NESS: (Do not use P.O. Box No.)<br>111 Dunnell Road, Suite 201 | | | | | | (No. a-d Street) | | | | Maplewood | NJ | | 7040 | | (Oty) | (Stlie) | | (Zip Code) | | NAME AND TELEA-lONE NUMBER OF PEROON TO CONTACT IN REGARD TO THIS RER::>RT | | | | | Athena Kwai | | | 973-313-2400 | | | | | (Ar<11Code -- TeeproneNo.) | | | 8. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whore opinion isrontana:J in this Report* | | | | | | | | | | Friedman LLP | | | | | | (N<rm-- if indllid:Jal, statefa,t, fiat, n-icklename) | | | | 100 Eagle Rock Avenue Suite 200 | East Hanover | NJ | 7936 | | (AdctB'iS) | (Oty) | (Stlie} | (Zip Code) | | CHECK ONE: | | | | | ~ Certifiro PublicAcx:x:x.mta,t | | | | | D<br>PclblicAcx:x:x.mta,t | | | | | D<br>Accx:xmta,t not resdelt in Unitro Staesor En/ r:J itspoosessiOflS | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | • Claims for ex.€nlJ[ion from the requirement that the annual report *be* covered by the…Read the full text as markdown