Full text of ABSA SECURITIES U.S. INC.'s X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition **And** Report of Independent Registered Public Accounting Firm December 31, 2020 {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB Number: | 3235-0123 | | | |-------------------------------|------------------|--|--| | Expires: | October 31, 2023 | | | | Estimated average burden | | | | | hours per response .<br>12.00 | | | | 0MB APPROVAL # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill SEC FILE NUMBER **8- 70312** **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=2=/2=5~/2=0=2~0 | ____<br>AND ENDING | __<br>___<br>~l2=/~3=1/=20=2~0<br>_ | | | |--------------------------------------------------------------------------|------------------------------|--------------------|-------------------------------------|--|--| | | MMIDD!YY | | MMIDD!YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALERS: ABSA Securities U.S. Inc. | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 610 Fifth A venue, Suite 405 | FIRM I.D. NO. | | | | | | | (No. and Street) | | | | | | NY<br>New York | | 10020 | | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | James Gregory | | 646-844-0282 | | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | WithumSmith+Brown, PC | | | | | | | 1411 Broadway, 23'd Floor | New York | NY | 10018 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | Certified Public Accountants<br>IBJ | | | | | | | D<br>Public Accountant | | | | | | | D Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims f or 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 f or the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are…Read the full text as markdown