Full text of GUOTAI JUNAN SECURITIES USA, INC.'s X-17A-5 filed 2022-02-18 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | 11 aðilling(VII, D.V. 200977 | | | OMB Number: | 3235-0123 | | |-----------------------------------------------------------------------------------------------------------------------------|---------------------------------------|------------|--------------------------------------|------------------|-------| | | | | Expires:<br>Estimated average burden | October 31, 2023 | | | | | | hours per response | | 12.00 | | | ANNUAL AUDITED REPORT<br>FORM X-17A-5 | | | SEC FILE NUMBER | | | | PART III | | | 8-69762 | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act<br>of 1934 | | | | | | | ORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | | 12/31/2021 | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | E OF FIRM: Guotai Junan Securities USA, Inc. | | | | | | OMB APPROVAL NAME OF FIRM: Guotai Junan Securities USA, Inc. REPORT FOR THE PERIOD BEGINNING TYPE OF REGISTRANT (check all applicable boxes): □Major security-based swap participant �Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 630 Fifth Avenue, Suite 2000 | an Maria di Continue and Pennsaman Proposition Comments of | | | | |------------------------------------------------------------|--------------------------------|-------------------|--| | (No. and Street) | | | | | New York | NY | 101111 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Fei Yin | 646-678-3967 | feiyin@gtjusa.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | ## 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) | | 10/08/2003 | | | 339 | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if a…Read the full text as markdown