Full text of CG COMPASS (USA) LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). 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-S PART Ill** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-66263 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01 /01 /23** MM/DD/VY AND ENDING **12/31** /23 MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: CG COMPASS (USA) LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer 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 | 10022 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Karen Alvarez | (770) 407-3458 | 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) | | | | | 105 Eisenhower Pkwy | Roseland | NJ | 07068 | |-------------------------------------------------|-----------------------|---------|------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 9/29/09 | | 3861 | | | l"'<br>of Reg;,trat<m w;th PCAOB)l;f apphcable] | | | (PCAOB Regist<afoa N,mbe,, ;fapphcable]I | | | FOR OFFICIAL USE ONLY | | | | | | | | \* 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, Jo…Read the full text as markdown