Full text of MIRAE ASSET WEALTH MANAGEMENT (USA) INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **Mirae Asset Wealth Management (USA) Inc.** (A Wholly-Owned Subsidiary of Mirae Asset Securities Holdings (USA), Inc.) (SEC I.D. No. 8-67945) FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION AS OF AND FOR THE YEAR ENDED DECEMBER 31, 2021 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND EXEMPTION REPORT {1}------------------------------------------------ #### CONTENTS | | PAGE(S) | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------| | Facing<br>Page Oath<br>or<br>Affirmation | 1-2 | | Report of Independent Registered Public Accounting Firm | 3-4 | | Statement<br>of<br>Financial<br>Condition | 5 | | Statement<br>of<br>Operations | 6 | | Statement<br>of<br>Changes<br>in<br>Stockholder's<br>Equity | 7 | | Statement<br>of<br>Cash<br>Flows | 8 | | Notesto<br>Financial<br>Statements | 9-19 | | Supplemental<br>Information: | | | Schedule I: Computation<br>of<br>Net<br>Capital<br>Pursuant<br>to<br>Rule<br>15c3-1<br>of<br>the<br>Securities<br>and<br>Exchange<br>Commission | 21 | | Schedule II: Computation<br>for<br>the<br>Determination<br>of<br>the<br>Reserve<br>Requirements<br>Pursuant<br>to<br>Rule<br>15c3-3<br>of the Securities and Exchange Commission | 22 | | Supplementary<br>Reports: | | | Report of Independent Registered Public Accounting Firm<br>on Exemption Report. | 23 | | Exemption Report | 24 | | Report of Independent Registered Public Accounting Firm on<br>Applying Agreed-Upon<br>Procedures | 25-26 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III | 8-67945 | | |-----------------|--| | SEC FILE NUMBER | | | | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/21 filing for the period beginning 01/01/21 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Mirae Asset Wealth Management (USA), Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 3701 Wilshire Blvd., Suite 101 (No. and Street) Los An…Read the full text as markdown