Full text of GLOBAL PACIFIC SECURITIES US, INC.'s X-17A-5 filed 2022-12-22 (period 2022-09-30). 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 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | | | |---------------------------|--|--| | OMB Number: 3235-0123 | | | | Expires: Oct. 31, 2023 | | | | Estimated average burden | | | | hours per response:<br>12 | | | | SEC FILE NUMBER | | | |-----------------|--|--| | 2-70270 | | | 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 | 10/01/2022<br>09/30/2022<br>AND ENDING | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------|-----------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | Global Pacific Securities US, Inc.<br>NAMF OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>L Security-based swap dealer __ _ _ Major security-based swap participant<br>Broker-dealer<br>L Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 19 West 26th Street 5th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | | 10010 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Robert Campbell | 973-727-7379 | | | Robert. Campbell@acaglobal.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | YSL & Associates | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 11 Broadway | New York | | NY | 10004 | | (Address) | (City) | | (State) | (Zip Code) | | 06/06/2006 | | 2699 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | * Claims for exemption from the requirement that the annual reports of an independent public | FOR OFFICIAL USE ONLY | | | | 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 colle…Read the full text as markdown