Full text of GUOTAI JUNAN SECURITIES USA, INC.'s X-17A-5/A filed 2021-02-24 (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 | OMB Number: | 3235-0123 | |--------------------------------------|------------------| | Expires:<br>Estimated average burden | August 31 , 2020 | | hours per response | 12.00 | 8-69762 SEC FILE NUMBER OMB APPROVAL # ANNUAL AUDITED REPORT FORM X-17A-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 | _O.::l f.,._0.::11=20=2=0 | AND ENDfNG | __<br>___<br>---'-'12=/_3_.1/=20=2=0<br>_ | |---------------------------------------------------------------------|---------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | MM/DD/YY | | MM/DDN Y | | | | | | NAME OF BROKER-DEALERS: Guotai Junan Securities USA, Inc. | | OFFICIAL USE ONLY | | | | FIRM l.D. NO. | | | | | | | | | | (No. and Srreet) | | | | | | IOI I I | | | | (Zip Code) | | | | | | | | 646-678-3967 | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | | | | | | | NY | 10020 | | | (Stale) | (Zip Code) | | | | | | | | | | | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | ____<br>NY<br>(State)<br>New York<br>(City) | ____<br>A. REGISTRANT IDENTIFICATION<br>ADDRESS OF PRfNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNT ANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>(Name - if individual, state /as1,jirs1, middle name) | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant mus/ be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 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 displa…Read the full text as markdown