Full text of CONNAUGHT (U.S.) LLC's X-17A-5 filed 2023-03-02 (period 2022-12-31). 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, 2022 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 | | | 0MB APPROVAL | | | Washington, D.C. 20549 | | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | | | | FORM X-17 A-5<br>PART Ill | | | SEC FILE NUMBER<br>8-70323 | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2022<br>AND ENDING<br>MM/DD/VY | 12/31/2022<br>MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Connaught (U.S.) LLC | | | | | | IZ!Broker-dealer<br>2 Soho Place | Security-based swap dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | Major security-based swap participant | | | | | (No. and Street) | | | | | | | | | | | | | | | | | London<br>(City) | (State) | | WlD 3BG<br>(Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Alex User-Smith | +44 20 7042 8097 | | AUS@connaught.com | | | (Namel | (Area Code-Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name- if individual, state last, first, middle name) | | | | | | | | | | | 4 Tower Place, Executive Park, 7th Floor<br>(Address) | Albany<br>(City) | NY<br>(State) | 12203<br>(Zip Code) | | | | | | 1195 | | | • UHY LLP<br>: 07/01/2004<br>(Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | • 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…Read the full text as markdown