Full text of CONNAUGHT (U.S.) LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **CONNAUGHT (U.S.) LLC** AUDITED FINANCIAL STATEMENT DECEMBER 31, 2020 PUBLIC DOCUMENT Filed pursuant to Rule l 7a-5(e)(3) under the Securities Exchange Act of 1934. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **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 l 7a-5 Thereunder** REPORT FOR THE PERIOD BEGINNING **01/01/2020** AND ENDING **12/31/2020** MM/DD/ Y Y MM/DD/YY **A. REGISTRANT IDENTIFICATION** ----------- # NAME OF BROKER-DEALER: CONNAUGHT (U.S.) LLC ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) ## 152-156 GREAT PORTLAND STREET LONDON (No and Street) (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Alex Usher-Smith +44 20 7042 8097 #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* #### UHY LLP | | (Name - ,f individual, slate last, first, middle name) | | | |-------------------------------------------------|---------------------------------------------------------------------|---------|------------| | 4 Tower Place, Executive Park, 7th Floor Albany | | NY | 12203 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | ✓ !certified Public Accountant | | | | | Public Accountant | | | | | | 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/acts and circumstances relied on as the basis/or the exemption. See Section 240. /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 (11-05) 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 > SEC FILE NUMBER **B-70323** W1W6AJ (Area Code - Telephone Number) OFFICIAL USE ONLY FIRM I.D. NO. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Alex Usher-Smith | | , swear (or affirm) that, to the best of | |--------------------…Read the full text as markdown