Full text of BELL POTTER SECURITIES (US) LLC'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}------------------------------------------------ Bell Potter Securities (US) LLC 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, 2023 | | | hours per response . | 12.00 | | **8-69991** 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: Bell Potter Securities (US) LLC | | | OFFICIAL USE ONLY | | | | | 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 | | | | | Steve Cossettini | | 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>IBJ<br>D<br>Public Accountant<br>D 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 240.17 a-5 (e)(2)* > **Potential persons who are to respond to the collection of information contained in this…Read the full text as markdown