Full text of MIRAE ASSET WEALTH MANAGEMENT (USA) INC.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  5695 MacArthur Court Suite 1600 Newport Beach, CA 92660 D+1949 553 1600 F+1 949 553 0168 #### GRANT THORNTON LLR **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** **Board of Directors and Stockholder Mirae Asset Wealth Management (USA), Inc.** #### **Opinion on the financial statements** **We have audited the accompanying consolidated statement of financial condition of Mirae Asset Wealth Management (USA) Inc. (and subsidiaries) (the "Company") as of December 31, 2020, and the related consolidated statement of operations, changes in stockholder'<sup>s</sup> equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements") that are filed pursuant to Rule 17a-5 under the Securities Exchange Act of 1934. In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31, <sup>2020</sup> and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America.** #### **Basis for opinion** **These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on the Company'<sup>s</sup> financial statements based on our audit. We are <sup>a</sup> public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.** **We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Company is not required to have, nor were we engaged to perform an audit of its internal control over financial reporting. As part of our audit we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion.** **Our audit included performing procedures to assess the risks of m…Read the full text as markdown