Full text of GUOTAI JUNAN SECURITIES USA, INC.'s X-17A-5 filed 2023-02-16 (period 2022-12-31). 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, 2022** {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | hours per response… | SEC FILE NUMBER | 12.00 | |---------------------|-----------------|-------| | | 8-69762 | | OMB APPROVAL # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|----------------------------------------|-------------------|--------------------------------------------| | REPORT FOR THE PERIOD BEGINNING | of 1934<br>01/01/2022 | AND ENDING | | 12/31/2022 | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Guotai Junan Securities USA, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☒Broker-dealer<br>☐Security-based swap dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | | ☐Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>630 Fifth Avenue, Suite 2000 | | | | | | | (No. and Street) | | | | | New York | | NY | | 10111 | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | (State) | | (Zip Code) | | 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*<br>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 applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. **Persons who are t…Read the full text as markdown