Full text of HAITONG INTERNATIONAL SECURITIES (USA) INC.'s X-17A-5 filed 2024-04-04 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### HAITONG INTERNATIONAL SECURITIES (USA) INC. STATEMENT OF FINANCIAL CONDITION YEAR ENDED DECEMBER 31, 2023 {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>12 | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|----------------|--------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17A-S | | 8-66566 | | | | | | | PART Ill | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>AND ENDING 12/31/2023<br>FILING FOR THE PERIOD BEGINNING O 1 /Q<br>1 /2023<br>MM/DD/VY<br>MM/DD/VY | | | | | | | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME or FIRM: Haitong International Securities (USA) Inc | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>□<br>Security-based swap dealer<br>D Major security-based swap participant<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 452 Fifth Avenue | , 23rd Floor | | | | | | | | | (No. and Street) | | | | | | | | New York | NY | | 10018 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Sean Forbes | 212-351-6012 | | sean. forbes@us.htisec.com | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Mayer Hoffman Mccann CPAs, the New York Practice of Mayer Hoffman Mccann P.C. | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 685 Third Avenue | New York | NY | 10017 | | | | | | (Address)<br>10/22/2003<br>l | (City) | (State)<br>199 | (Zip Code) | | | | | |…Read the full text as markdown