Full text of HAITONG SECURITIES USA LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **HAITONG SECURITIES USA LLC** STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2020 {1}------------------------------------------------ | | 0MB Number:<br>3235-0123 | |---------------------------------------------------------------------------|--------------------------------| | SECURITIES AND EXCHANGE COMMISSION | Expires:<br>October 31, 2023 | | Washington, D.C. 20549 | Estimated average burden | | | hours per response<br>12.00 | | ANNUAL AUDITED REPORT | | | FORM X-17 A-5 | SEC FILE NUMBER | | PART Ill | 8-69694 | | | | | FACING PAGE | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | REPORT FOR THE PERIOD BEGINNING<br>01/01/2020<br>AND ENDING | 12/31/2020 | | MM/DDNY | MM/DDNY | | A. REGISTRANT IDENTIFICATION | | | NAME OF BROKER-DEALERS: Haitong Securities USA LLC | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | 340 Madison A venue, 12th Floor | FIRM 1.0. NO. | | (No. and Street) | | | New York<br>NY | 10173 | | (City)<br>(State) | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | Sean Forbes | 212-351-6012 | | | (Area Code - Telephone Number) | | B. ACCOUNT ANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | Marks Paneth LLP | | | (Name-if individual, srare last,<br>first, middle name) | | | NY<br>New York<br>685 Third A venue | 10017 | | (City)<br>(State)<br>(Address) | (Zip Code) | | CHECK ONE: | | | Certified Public Accountants<br>IRl | | | D Public Accountant | | | Accountant not resident in United States or any of its possessions.<br>D | | | | | UNITED STATES 0MB APPROVAL | FOR OFFICIAL USE ONLY | | |-----------------------|--| | | | | | | *\*Claims for exemytion from the requirement that the annual report be covered by the opinion of an independent \_public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.l 7a-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (11-05) {2}------------------------------------------------ #### **OATH OR AFFTRMA TION** I, Sean Forbes, sw…Read the full text as markdown