Full text of BELL POTTER SECURITIES (US) LLC's X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Bell Potter Securities (US) LLC** **Statement of Financial Condition** **December 31, 2019** {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** **Washington, D.C. 20549** | OMB Number: | 3235-0123 | | | |--------------------------|-----------------|--|--| | Expires: | August 31, 2020 | | | | Estimated average burden | | | | | hours per response… | 12.00 | | | **8-69991** SEC FILE NUMBER OMB APPROVAL # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **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 | 01/01/2019 | AND ENDING | 12/31/2019 | | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|-------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALERS: Bell Potter Securities (US) LLC | | | OFFICIAL USE ONLY | | | | | | __________________<br>FIRM I.D. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 444 Madison Ave, Floor 39 | | | | | | | (No. and Street) | | | | | New York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Christopher Brice | | | 917-819-1410 | | | | | | (Area Code – Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | WithumSmith+Brown, PC | | | | | | | (Name – if individual, state last, first, middle name) | | | | | 1411 Broadway, 23rd floor | New York | NY | 10018 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountants<br>_ | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for 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 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required…Read the full text as markdown