Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5 filed 2026-03-16 (period 2025-12-31). 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: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | hours per response: 12 | | |------------------------|--| | SEC FILE NUM BER | | | 8 -<br>70231 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|---------|------------------------| | FILING FOR THE PERIOD BEGINNING O 1/01/2025 | MM/DD/YY | AND ENDING 12/3 | 1 / | 2 0<br>2 5<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME oF FIRM : Huatai Securities (USA), Inc | | | | | | TYPE OF REG ISTRANT {check all applicable boxes):<br>□ Major security-based swap participant<br>C!J Broker-dealer<br>□ Securit y-based sw ap dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) | | | | | | 280 PARK AVE, 21 FLOOR EAST | | | | | | | (No. and Street) | | | | | NEW YORK | NY | | 10017 | | | (City) | (Stat e) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FI LI NG | | | | | | Bryan Lin | | | | bryanlin@htsc-us.com | | (Name)<br>(Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in t his f iling*<br>WithumSmith+Brown, PC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 200 Jefferson Park Suite 400 | Whippany | | NJ | 07981 | | (Address) | (City) | | (State) | (Zip Code) | | 10/08/2003 | | 100 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requ irement that t he annua l reports be covered by the reports of an independent public accou ntant must be supported by a statement of facts and circumstances relied on as t he basis of t he exempt ion . See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a…Read the full text as markdown