Full text of GUOTAI JUNAN SECURITIES USA, INC.'s X-17A-5 filed 2021-02-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Guotai Junan Securities **USA,** Inc. Statement of Financial Condition December 31, 2020 {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** **Washington, D.C. 20549** | 0MB Number: | 3235-0123 | | |--------------------------------------|-----------------|--| | Expires:<br>Estimated average burden | August 31, 2020 | | | hours per response . | 12.00 | | **8-69762** SEC FILE NUMBER 0MB APPROVAL # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill **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>~0~l~/0~l/=2~02=0~ | ___<br>AND ENDING | ___<br>___<br>1=2~/3~1=/2~02=0<br>_ | | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------|-------------------------------------|--| | | MMIDDIYY | | MMIDDIYY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALERS: Guotai Junan Securities USA, Inc. | | OFFICIAL USE ONLY | | | | | | | FIRM I.D. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 630 Fifth Avenue, Suite 2000 | | | | | | | (No. and Street) | | | | | New York | NY | | 10111 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Fei Yin | | | 646-678-3967 | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Mazars USA, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 135 West 50th Street | New York | NY | 10020 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountants<br>IBJ<br>D<br>Public Accountant<br>D Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | *\*Claims f or exemption 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 240.17 a-5 (e)(2)* > **Potential persons who are to respond to the col…Read the full text as markdown