Full text of CG COMPASS (USA) LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES ANO EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | | |----------------|--| | FORM X· 17 A-5 | | | | | | OMB Number: 323S-Ol23 | | |--------------------------|--| | Expires· Oct. 31, 2023 | | | Estimated IVt!R&t burden | | | hours per re1!)0nse: 12 | | 8-66263 # **FORM** X· 17 A-5 **PART Ill** FACING PAGE Information Required Pursuant to Rules 17a·S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 1 /1 /21 | | | AND ENDING 12/31 /21 | | | |------------------------------------------|-------------------------------|--|----------------------|--|--| | | -----------------<br>MM/DD/YY | | MM/DD /YY | | | A. REGISTRANT IDENTIFICATION ## NAME OF FIRM: CG COMPASS (USA) LLC lYPE OF REGISTRANT (check all applicable boxes): !!ii Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respo ndent is also an OTC derivatives dealer ADDRESS OF PRINOPAl PLACE OF BUSINESS: (Do not use a P .0 . box no.) ### 135 EAST 57TH STREET, 30TH FLOOR | | (No. and Street) | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------------------|-----------------------| | New York | NY | | 10022 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | KAREN L. ALVAREZ | 770-263-7300 | | kalvarez@foreside.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | MEISEL, TUTEUR & LEWIS, P.C. | (Name - 1f individual, state last, first, and middle name) | | | | 101 EISENHOWER PKWY Roseland | | NJ | 07068 | | (Address) | (City) | (State) | (Zlp Code ) | | 9/29/09 | | 3861 | | | | | PCAOB Re .lstration Number, if a | lie.able | | | FOR OFFICIAL USE ONLY | | | | | | | | | • daim s for exemption from the requirement that the annual reports be covered by the 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-S(e)(l )(ll), if applicable. Persons who a re to respond to the collection of Information contained In this form are not required to respond unless the form dl.splavs a currently valid OMB control number. {1}------------------------------------------------ ####…Read the full text as markdown