Full text of CONNAUGHT (U.S.) LLC's X-17A-5 filed 2025-02-28 (period 2024-12-31). 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 , 2024 {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 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | | SEC FI LE NUMBER | | |--|------------------|--| | | 8-70323 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|-------------------------|------------------|--|--|--| | FILING FOR THE PERIOD BEGINNING O 1/01 /24 | | 12/31 f24<br>AND ENDING | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME oF FIRM: Connaught (U.S.) LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 2 Soho Place | | | | | | | | (No. and Street) | | | | | | | | London | | | W1D3BG | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | James Huelin | +44 20 7042 8097 | | 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 | | | | | \* 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-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this fo…Read the full text as markdown