Full text of REDBURN (USA) LLC's X-17A-5 filed 2022-03-11 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION Redburn (USA) LLC December 31, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | | UNITED STATES | | | | | |----------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-------------------------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | OMB APPROVAL | | | | | Washington, D.C. 20549 | | | | | | | | | OMB Number:<br>3235-0123 | | | | | | | Expires:<br>Oct. 31, 2023<br>Estimated average burden | | | | | | | hours per response…<br>12.00 | | | | | ANNUAL REPORTS | | | | | | | FORM X-17A-5 | | SEC FILE NUMBER | | | | | PART III | | 8-67320 | | | | REPORT FOR THE PERIOD BEGINNING | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>01/01/2021 AND ENDING | 12/31/2021 | | | | | | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | | | | | | | | | | | NAME OF FIRM: Redburn (USA) LLC | | | | | | | ☒ Broker-dealer<br>☐ Check here if respondent is also an OTC derivatives dealer<br>461 Fifth Avenue 15th Floor | ☐ Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | ☐ Major security-based swap participant | | | | | | (No. and Street) | | | | | | New York | NY | | 10017 | | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | (State) | | (Zip Code) | | | | Mitchell N. Lowenthal | (212) 803-7315 | | mitch.lowenthal@redburn.com | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Ernst & Young LLP | | | | | | | | (Name – if individual, state last, first, middle name) | | | | | | One Manhattan West | New York | NY | 10001 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/20/2003 | | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | O \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public account…Read the full text as markdown