Full text of CG COMPASS (USA) LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). 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· ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-66263 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /22** MM/DD/YY AND ENDING **12/31 /22** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : CG COMPASS (USA) LLC TYPE OF REGISTRANT (check all applicable boxes): iii Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 590 Madison Ave, 33rd Floor (No. and Street) New York **NY** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10022 (Zip Code) KAREN L. ALVAREZ 770-263-7300 karen .alvarez@acaglobal.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* MEISEL, TUTEUR & LEWIS, P.C. (Name - if individual, state last, first, and middle name) 101 EISENHOWER PKWY Roseland NJ 07068 (Address) (City) (State) (Zip Code) 9/29/09 3861 l" of Registcatloa with PCAOBj(if applicable) **FOR OFFICIAL USE ONLY** (PCAOBR,gi,t,atioo N,m '"• if appllcabl• I I • Claims 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)(ii), if applicable. **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Jorge Marin | swear (or affirm) that, to the best of my knowledge and belief, the | |-----------------------------------------------------------------|---------------------------------------------------------------------| | financial report pertaining to the firm of CG COMPASS (USA) LLC | as of | December 31 2~, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may…Read the full text as markdown