Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5 filed 2025-03-28 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECU RITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | | 0MB APPROVAL | |-------------|----------------------------| | 0MB Number: | | | | Expires: November 30, 2026 | | | Estimated average burden | | | hours per response. 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** | REPORT FOR THE PERIOD BEGINNING | ____<br>0~1~/0~1_/2~0~2_4 | ____<br>ANDEND~G | ___<br>__<br>~1=2/~31~/~20~2~4 | |----------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------|--------------------------------| | | M 1/0D/YYYY | | 1M/OD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | Huatai Securities (USA), Inc | | | OFFICIAL USE ONLY | | | | | FIRM ID. NO. | | ADDRESS OF PRlNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 280 PARK AVE, 21 FLOOR EAST | | | | | ( No. and Street) | | | | NEW YORK | NY | | 10017 | | | (State) | | (Zip Code) | | (City)<br>NAME AND TELEPHONE NUMBER Of PERSON TO CO TACT I | | REGARD TO THIS REPORT | | | | | | (Area Code•- Telephone No.) | | | | | | | INDEPENDENT PUBLIC A COUNT ANT whose opinion is contained in this Report* | B. ACCOUNTANT IDENTIFICATION | | | | | WithumSmith+Brown, PC | | | | | (Name •- 1f111d1vid11al, stale last. /ir.<J. middle name) | | | | 200 Jefferson Park Suite 400 | Whippany | NJ | 07981 | | (Address) | (City) | (State) | (Zip Code) | | C9 Certified Public Accountant | | | | | CHECK ONE:<br>0 Public Accountant<br>0 Accow1l=l not resident in United States or :my of iL~ possessions | | | | *\*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 sec/ion 240. l 7a-5(e}(2).* SEC 14!0 (06-02) 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. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | Bryan Lin<br>. swear (or affirm) that, to the | |----|-----…Read the full text as markdown