Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5/A filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST ATES SECURITLES ANO EXCHANGE COMMISSlON Washington, D.C. 20549 | | OMS APPROVAL | |-------------|-------------------------------| | OMB Number: | | | | Expires: October 31, 2023 | | | Estimated average burden | | | hours oer resoonse .• _ 12.00 | | | SEC FILE NUMBER | | | 8 - 70231 | ## **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 | | ~~~~<br>0~1~2~ | ~~~~ANDENDING~~~- | 2~20"'-~~- | |-----------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------|-------------------|-----------------------------| | | MMIDDIYYYY | | MM 'DD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | AME OF BROKER-DEALER: | | | | | Huatai Securities (USA), Inc<br>ADDRESS OF PRr CIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM ID. NO. | | | 10 HUDSON YARDS, 41ST FLOOR | | | | | (No. and Srreet) | | | | NEW YORK | NY | | 10001 | | (City) | (State) | | (Zip Code) | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Citrin Cooperman & Company, LLP | | | | | (Name - 1( i111/Jwtluul. stale las1. first. middle 11a111e) | | | | 529 5th Ave | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code} | | CHECK ONE:<br>[!) Certified P11blic Accountanr<br>D Public Accountant<br>0 Accountant not resident in United States or any of its possessions | | | | *\*Claims for exe111ptio11 fro111 1he require111e111 1ha1 1he 01111110/ reporl be covered by 1he opinion of 011 indepe11den1 public acco111110111 must be suppon ed by a sta1emen1 of fac1s and circumstances relied on as the basis for the exemption. See section 240. I la·5(e){2).* > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (06-02) {1}------------------------------------------------ #### OATH OR AFFIRMATION | | . S"car (or affum) that, to the<br>BfVllil Lin | | |-------------------------------------------------------------------------------------------------------|---------------------------…Read the full text as markdown