Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ### ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB APPROVAL | | | |-----------------------------|-----------|--| | OMB Number | | | | Expires: October 31, 2023. | | | | Estimated average burden | | | | hours per response . 12.00 | | | | SEC FILE NUMBER | | | | | 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 | | 01/01/2022 | AND ENDING | 12/31/2022 | | |-----------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------|------------|------------------------------|--| | | MM/DD/YYYYYY | | MMDD/YYYYY | | | | 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. | | | | 280 Park Ave E21st Floor | | | | | | (No, and Street) | | | | | NEW YORK | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | | | | (Area Code -- Telephone No.) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | WithumSmith+Brown, PC<br>(Name -- if individual, state last, first, middle name ) | | | | | 200 Jefferson Park Suite 400 | Whippany. | NJ | 07981 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | A Certificd Public Accountant | | | | | | Public Accountant<br>Accountant not resident in United States or any of its possessions | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>CHECK ONE: | | | | | \*Claims for exemplion from the reguirement that the annual report be covered by the opinion of an independent public accommant must be supported by a siatement of facts and circumstances relied on as the basis for the exection 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 unless the form displays a currently valid OMB control number. SEC 1410 (06-02) {1}------------------------------------------------ #### OATH OR AFFIRMATION | | Huatai Securities (USA), Inc | the state of the state of the same as of | |--------------------------------|-------------------------------------------------------------------------------------…Read the full text as markdown