Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES** OMB Number: 3235-0123 **SECURITIES AND EXCHANGE COMMISSION** Expires: August 31, 2020 **Washington, D.C. 20549** Estimated average burden | OMB APPROVAL | | | |--------------------------|--|--| | | | | | | | | | | | | | hours per response 12.00 | | | | | | | | | | | ## **ANNUAL AUDITED REPORT** SEC FILE NUMBER **FORM X-17A-5 8 - 70231 PART III** | SEC FILE NUME | | |---------------|--| | 8 - 70231 | | ### **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 | 06/01/2019 | AND ENDING | 12/31/2019 | |----------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|---------------|------------------------------| | | MM/DD/YYYY | | MM/DD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | Huatai Securities (USA), Inc. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 10 HUDSON YARDS, 41ST FLOOR | | | | | (No. and Street) | | | | NEW YORK | NY | | 10001 | | (City) | (State) | | (Zip Code) | | | B. ACCOUNTANT IDENTIFICATION | | (Area Code -- Telephone No.) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Citrin Cooperman & Company, LLP | | | | | (Name -- if individual, state last, first, middle name ) | | | | 529 5th Ave<br>(Address) | New York<br>(City) | NY<br>(State) | 10017<br>(Zip Code) | | CHECK ONE: x<br>Certified Public Accountant<br>Public Accountant<br>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 to respond** SEC 1410 (06-02) **unless the form displays a currently valid OMB control number.** {1}------------------------------------------------ #### OATH OR AFFIRMATION | | Bryan Lin | | , swear (or affirm) that, to the | |---|--------------------------------…Read the full text as markdown