Full text of CONNAUGHT (U.S.) LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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 | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | SEC FILE NUMBER | | 8-70323 # 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 FILING FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING 12/31/2021 MM/DD/YY MM/DD/YY | A. REGISTRANT IDENTIFICATION | | | | | |-----------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------------------|--| | NAME OF FIRM: Connaught (U.S.) LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>A Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | [ Security-based swap dealer _ _ Major security-based swap participant<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 152-156 Great Portland Street | | | | | | | (No. and Street) | | | | | London | | | W1W6AJ | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Alex Usher-Smith | +44 20 7042 8097 | | aus@connaught.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | UHY LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 4 Tower Place, Executive Park, 7th Floor Albany | NY | 12203 | | | (Address) | (City) | (State) | (Zip Code) | | | 07/01/2004 | | 1195 | | | | (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 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 re…Read the full text as markdown