Full text of ABSA SECURITIES U.S. INC.'s X-17A-5 filed 2022-02-24 (period 2021-12-31). 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, 2021** {1}------------------------------------------------ **UNITED STATES** **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART III** > > **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | REPORT FOR THE PERIOD BEGINNING | | 01/01/2021<br>MM/DD/YY | | 12/31/2021<br>MM/DD/YY | |--------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------------|----------------------------------------|----------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: ABSA Securities U.S. Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | ☒Broker-dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | ☐Security-based swap dealer | | ☐Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 610 Fifth Avenue, Suite 405 | | | | | | | | (No. and Street) | | | | New York | | NY | | 10020 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | James Gregory | 646-844-0282 | | | James.Gregory@absasecurities.com | | (Name) | (Area Code – Telephone Number) | | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing* | | | | | | WithumSmith+Brown, PC | | | | | | | (Name – if individual, state last, first, middle name) | | | | | 1411 Broadway, 9th Floor | New York | | NY | 10018-3496 | | (Address) | (City) | | (State) | (Zip Code) | | 10/08/2003 | | | | 100 | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(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 currentl…Read the full text as markdown