Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5 filed 2024-04-01 (period 2023-12-31). 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** | 0MB APPROVAL | | | |-----------------------------|-----------------|--| | 0MB Number: | | | | Expires: November 30, 2026 | | | | Estimated average burden | | | | hours oer resoonse . 12.00 | | | | | SEC FILE NUMBER | | | | 8 - 70231 | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill #### **FACING PAGE** #### **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17 a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01 /01/2023 | AND ENDING | 12/31 /2023 | |----------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|------------|------------------------------| | | MM/DDNYYY | | MM/DDNYYY | | | 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, 21 FLOOR EAST | | | | | (No. and Street) | | | | NEW YORK | NY | | 10017 | | (City) | (State) | | (Zip Code) | | | B. ACCOUNTANT IDENTIFICATION | | (Area Code -- Telephone No.) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | WithumSmith+Brown, PC | | | | | (Name -- if individual, state last, first, middle name) | | | | 200 Jefferson Park Suite 400 | Whippany | NJ | 07981 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>[!I Certified Public Accountant<br>D 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.l 7a-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 0MB control number.** SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | | Bryan Lin<br>, swear (or affirm) that, to the | | | | |-------|-------------------------------------------------------------…Read the full text as markdown