STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC. X-17A-5 (2017-03-02) — Broker-dealer annual report

Full text of STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC.'s X-17A-5 filed 2017-03-02 (period 2016-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC.
• Form: X-17A-5
• Filed: 2017-03-02
• Period: 2016-12-31
• Accession: 0001281941-17-000002
• CIK: 1281941
• File #: 8-66397
• Material weakness: No
• Auditor: RSM US LLP
• Auditor location: New York, NY
• Contact: Peter Nielsen
• Phone: (201) 706-5643
• Signed by: Peter Nielsen (Director of Financial Operations)

Document text (excerpt)

X-17A-5 0001281941 XXXXXXXX LIVE true false false 01-01-2016 12-31-2016 Broker-dealer N STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC. 1095 AVENUE OF THE AMERICAS NEW YORK NY 10036 Peter Nielsen (201) 706-5643 RSM US LLP 1185 Avenue of the Americas New York NY 10036 Certified Public Accountant Peter Nielsen STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC. 12-31-2016 No Exceptions Peter Nielsen Director of Financial Operations Y

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Original filing on SEC EDGAR (source of record)