Full text of CONNAUGHT (U.S.) LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **CONNAUGHT (U.S.) LLC** STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31 , 2023 {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-70323 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill **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 O 1/01 /23 | | | AND ENDING | 12/31123 | | |--------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------------------------|-----------------|--------------------------------------------| | | | MM/DD/VY | | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Connaught (U.S.) LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C!J Broker-dealer | D Security-based swap dealer<br>0 Check here if respondent Is also an OTC derivatives dealer | | 0 Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 2 Soho Place | | | | | | | | | (No. and Street) | | | | | London | | | | | W1D38G | | (City) | | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | James Huelin | | +44 7793564 797 | | | JH@connaught.com | | (Name) | | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>UHY LLP | | | | | | | | | | (Name- if individual, state last, first, and middle name) | | | | 4 Tower Place, Executive Park Albany | | | | NY | 12203 | | (Address) | | (City) | | (State) | (Zip Code) | | 7/1/2004 | | | 1195 | | | | (Date of Rei:lstrallon with PCAOB)(il applicable) | | | | | (PCAOB Reglstrarlon Number, if appllcable} | | | | 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 rel ied on as the basis of the exemption. See 17 CFR 240.17a-S(el(1)(fi), If applicable. *…Read the full text as markdown