Full text of UPSTOX USA INC.'s X-17A-5 filed 2023-04-14 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **UPSTOX USA INC.** **Statement of Financial Condition As of December 31, 2022 With Report of Independent Registered Public Accounting Firm** {1}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # 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 REPORT FOR THE PERIOD BEGINNING 11/11/2021 AND ENDING 11/31/2022 MM/DD/YY MM/DD/YY ### A. REGISTRANT IDENTIFICATION #### NAME OF FIRM: Upstox USA Inc TYPE OF REGISTRANT (check all applicable boxes): �Broker-dealer □ Check here if respondent is also an OTC derivatives dealer #### ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | IZUL IN. Alducilo Drive | | | | | | | | | |----------------------------------------------------------------------------|--------------------------------|---------|--------------------------------------------|--|--|--|--|--| | (No. and Street) | | | | | | | | | | Pasadena | CA | | 91107 | | | | | | | (City) | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Mukunda Raghavan | (949)-419-5462 | | mukunda.raghavan@upstox usa.com | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. Accountant Identification | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | | | | Marcum | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | | | | 1 Montgomery St. Suite 1700 | San Francisco | CA | 94104 | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | 10/16/2003 | | | 688 | | | | | | | (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 required to respond unless the form displays a currently valid OMB control number. | OMB APPROVAL | | |--------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden…