Full text of SABADELL SECURITIES USA, INC.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Sabadell Securities USA, Inc.** **Financial Statements and Supplemental Schedules Pursuant to Rule 17a-5 of the Securities and Exchange Commission December 31, 2021** {1}------------------------------------------------ | | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | |----------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------------------------------------------|------------|-----------------------------------------------------------------------------------------------------------------------|--| | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | 8-67975 | | | | | PART III | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING | 01/01/2 | FACING PAGE<br>FREE P REAL COMPLETERS | AND ENDING | 12/31/21 | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | SABADELL SECURITIES USA, INC. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>O Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1111 BRICKELL AVENUE, 30TH FLOOR | | | | | | | | | (No. and Street) | | | | | MIAMI | | FLORIDA | | 33131 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | STEVEN SINGER | | 561-784-8922 | | SSINGER@SABSECURITIES.COM | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG, LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 78 SW 7TH STREET, SUITE 1200 | | MIAMI | FL | 33130 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10/20/2003 | | | 185 | | | | (Date of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | | * Claims for exemption from the requirement that the…Read the full text as markdown