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HAITONG INTERNATIONAL SECURITIES (USA) INC.

HAITONG INTERNATIONAL SECURITIES (USA) INC.

Company Details

Name:	HAITONG INTERNATIONAL SECURITIES (USA) INC.
Jurisdiction:	New York
Legal type:	DOMESTIC BUSINESS CORPORATION
Status:	Active
Date of registration:	09 Jun 2004 (21 years ago)
Entity Number:	3064254
ZIP code:	10018
County:	New York
Address:	452 Fifth Avenue, 23rd Floor, 23rd Floor, New York, NY, United States, 10018
Principal Address:	452 Fifth Avenue, 23rd Floor, NEW YORK, NY, United States, 10018

Shares Details

Shares issued 200

Share Par Value 0

Type NO PAR VALUE

Central Index Key

CIK number

Mailing Address

Business Address

Phone

1295232

452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018

212-351-6012

Filings since 2024-04-29

Form type	FOCUSN
File number	008-66566
Filing date	2024-04-29
Reporting date	2023-12-31
File	View File

Filings since 2024-04-04

Form type	X-17A-5
File number	008-66566
Filing date	2024-04-04
Reporting date	2023-12-31
File	View File

Filings since 2023-04-03

Form type	FOCUSN
File number	008-66566
Filing date	2023-04-03
Reporting date	2022-12-31
File	View File

Filings since 2023-03-31

Form type	X-17A-5
File number	008-66566
Filing date	2023-03-31
Reporting date	2022-12-31
File	View File

Filings since 2022-04-01

Form type	X-17A-5
File number	008-66566
Filing date	2022-04-01
Reporting date	2021-12-31
File	View File

Filings since 2021-03-31

Form type	FOCUSN
File number	008-66566
Filing date	2021-03-31
Reporting date	2020-12-31
File	View File

Filings since 2021-03-29

Form type	X-17A-5
File number	008-66566
Filing date	2021-03-29
Reporting date	2020-12-31
File	View File

Filings since 2020-03-02

Form type	X-17A-5
File number	008-66566
Filing date	2020-03-02
Reporting date	2019-12-31
File	View File

Filings since 2019-03-04

Form type	X-17A-5
File number	008-66566
Filing date	2019-03-04
Reporting date	2018-12-31
File	View File

Filings since 2018-03-29

Form type	X-17A-5/A
File number	008-66566
Filing date	2018-03-29
Reporting date	2017-12-31
File	View File

Filings since 2018-03-15

Form type	X-17A-5
File number	008-66566
Filing date	2018-03-15
Reporting date	2017-12-31
File	View File

Filings since 2017-03-01

Form type	FOCUSN
File number	008-66566
Filing date	2017-03-01
Reporting date	2016-12-31
File	View File

Filings since 2017-02-28

Form type	X-17A-5
File number	008-66566
Filing date	2017-02-28
Reporting date	2016-12-31
File	View File

Filings since 2016-02-29

Form type	FOCUSN
File number	008-66566
Filing date	2016-02-29
Reporting date	2015-12-31
File	View File

Filings since 2016-02-29

Form type	X-17A-5
File number	008-66566
Filing date	2016-02-29
Reporting date	2015-12-31
File	View File

Filings since 2015-03-02

Form type	FOCUSN
File number	008-66566
Filing date	2015-03-02
Reporting date	2014-12-31
File	View File

Filings since 2015-03-02

Form type	X-17A-5
File number	008-66566
Filing date	2015-03-02
Reporting date	2014-12-31
File	View File

Filings since 2014-03-04

Form type	FOCUSN
File number	008-66566
Filing date	2014-03-04
Reporting date	2013-12-31
File	View File

Filings since 2014-03-04

Form type	X-17A-5
File number	008-66566
Filing date	2014-03-04
Reporting date	2013-12-31
File	View File

Filings since 2013-02-28

Form type	FOCUSN
File number	008-66566
Filing date	2013-02-28
Reporting date	2012-12-31
File	View File

Filings since 2013-02-28

Form type	X-17A-5
File number	008-66566
Filing date	2013-02-28
Reporting date	2012-12-31
File	View File

Filings since 2012-02-29

Form type	FOCUSN
File number	008-66566
Filing date	2012-02-29
Reporting date	2011-12-31
File	View File

Filings since 2012-02-29

Form type	X-17A-5
File number	008-66566
Filing date	2012-02-29
Reporting date	2011-12-31
File	View File

Filings since 2011-02-28

Form type	FOCUSN
File number	008-66566
Filing date	2011-02-28
Reporting date	2010-12-31
File	View File

Filings since 2011-02-28

Form type	X-17A-5
File number	008-66566
Filing date	2011-02-28
Reporting date	2010-12-31
File	View File

Filings since 2010-03-01

Form type	FOCUSN
File number	008-66566
Filing date	2010-03-01
Reporting date	2009-12-31
File	View File

Filings since 2010-03-01

Form type	X-17A-5
File number	008-66566
Filing date	2010-03-01
Reporting date	2009-12-31
File	View File

Filings since 2009-03-02

Form type	FOCUSN
File number	008-66566
Filing date	2009-03-02
Reporting date	2008-12-31
File	View File

Filings since 2009-03-02

Form type	X-17A-5
File number	008-66566
Filing date	2009-03-02
Reporting date	2008-12-31
File	View File

Filings since 2008-02-29

Form type	FOCUSN
File number	008-66566
Filing date	2008-02-29
Reporting date	2007-12-31
File	View File

Filings since 2008-02-29

Form type	X-17A-5
File number	008-66566
Filing date	2008-02-29
Reporting date	2007-12-31
File	View File

Filings since 2007-03-01

Form type	FOCUSN
File number	008-66566
Filing date	2007-03-01
Reporting date	2006-12-31
File	View File

Filings since 2007-03-01

Form type	X-17A-5
File number	008-66566
Filing date	2007-03-01
Reporting date	2006-12-31
File	View File

Filings since 2006-03-21

Form type	X-17A-5
File number	008-66566
Filing date	2006-03-21
Reporting date	2005-12-31
File	View File

Filings since 2006-03-01

Form type	FOCUSN
File number	008-66566
Filing date	2006-03-01
Reporting date	2005-12-31
File	View File

Legal Entity Identifier

LEI number

Registered As

Jurisdiction Of Formation

General Category

Entity Status

Entity created at

2549006M82CC9SM1JN29

3064254

US-NY

GENERAL

ACTIVE

2004-06-09

Addresses

Legal	C/O HAITONG INTERNATIONAL SECURITIES (USA) INC., 452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, US-NY, US, 10018
Headquarters	22/F Li Po Chun Chambers, 189 Des Voeux Road, Hong Kong, HK, 999077

Registration details

Registration Date	2017-10-30
Last Update	2024-06-06
Status	ISSUED
Next Renewal	2025-06-06
LEI Issuer	5493001KJTIIGC8Y1R12
Corroboration Level	FULLY_CORROBORATED
Data Validated As	3064254

form 5500

Plan Name

Plan Year

EIN/PN

Received

Sponsor

Total number of participants

HAITONG INTERNATIONAL SECURITIES (USA) INC. 401(K) PLAN

2018

201250173

2019-08-08

HAITONG INTERNATIONAL SECURITIES (USA) INC.

File	View Page
Three-digit plan number (PN)	001
Effective date of plan	2007-01-01
Business code	523900
Sponsor’s telephone number	2128678065
Plan sponsor’s address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173

Signature of

Role	Plan administrator
Date	2019-08-08
Name of individual signing	SEAN FORBES

HAITONG INTERNATIONAL SECURITIES (USA) INC. 401(K) PLAN

2017

201250173

2018-05-13

HAITONG INTERNATIONAL SECURITIES (USA) INC.

File	View Page
Three-digit plan number (PN)	001
Effective date of plan	2007-01-01
Business code	523900
Sponsor’s telephone number	2128678065
Plan sponsor’s address	850 THIRD AVENUE, SUITE 9B, NEW YORK, NY, 10022

Signature of

Role	Plan administrator
Date	2018-05-13
Name of individual signing	SEAN FORBES

HAITONG INTERNATIONAL SECURITIES (USA) INC. 401(K) PLAN

2016

201250173

2017-06-29

HAITONG INTERNATIONAL SECURITIES (USA) INC.

File	View Page
Three-digit plan number (PN)	001
Effective date of plan	2007-01-01
Business code	523900
Sponsor’s telephone number	2128678065
Plan sponsor’s address	850 THIRD AVENUE, SUITE 9B, NEW YORK, NY, 10022

Signature of

Role	Plan administrator
Date	2017-06-29
Name of individual signing	SEAN FORBES

HAITONG INTERNATIONAL SECURITIES (USA) INC. 401(K) PLAN

2015

201250173

2016-07-14

HAITONG INTERNATIONAL SECURITIES (USA) INC.

File	View Page
Three-digit plan number (PN)	001
Effective date of plan	2007-01-01
Business code	523900
Sponsor’s telephone number	2128678065
Plan sponsor’s address	800 THIRD AVENUE, SUITE 1703, NEW YORK, NY, 10022

Signature of

Role	Plan administrator
Date	2016-07-14
Name of individual signing	SEAN FORBES

Agent

Name	Role	Address
MR. SEAN M. FORBES	Agent	240 EAST 10TH STREET, UNIT 7B, NEW YORK, NY, 10003

DOS Process Agent

Name	Role	Address
HAITONG INTERNATIONAL SECURITIES (USA) INC.	DOS Process Agent	452 Fifth Avenue, 23rd Floor, 23rd Floor, New York, NY, United States, 10018

Chief Executive Officer

Name	Role	Address
VERONICA YE	Chief Executive Officer	452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY, United States, 10018

History

Start date	End date	Type	Value
2024-06-10	2024-06-10	Address	452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018, USA (Type of address: Chief Executive Officer)
2024-06-10	2024-06-10	Address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Chief Executive Officer)
2022-12-28	2024-06-10	Address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Chief Executive Officer)
2022-12-28	2024-06-10	Shares	Share type: NO PAR VALUE, Number of shares: 200, Par value: 0
2022-12-28	2024-06-10	Address	452 fifth avenue, 23rd floor, NEW YORK, NY, 10018, USA (Type of address: Service of Process)
2022-12-28	2024-06-10	Address	240 EAST 10TH STREET, UNIT 7B, NEW YORK, NY, 10003, USA (Type of address: Registered Agent)
2022-06-07	2022-12-28	Address	452 fifth avenue, 23rd floor, NEW YORK, NY, 10018, USA (Type of address: Service of Process)
2022-06-07	2022-12-28	Address	240 EAST 10TH STREET, UNIT 7B, NEW YORK, NY, 10003, USA (Type of address: Registered Agent)
2022-06-07	2022-12-28	Address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Chief Executive Officer)
2021-11-24	2022-12-28	Shares	Share type: NO PAR VALUE, Number of shares: 200, Par value: 0
2021-01-27	2022-06-07	Address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Chief Executive Officer)
2019-03-12	2022-06-07	Address	ATTN: SEAN M. FORBES, 340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Service of Process)
2019-03-12	2021-01-27	Address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Chief Executive Officer)
2018-08-13	2019-03-12	Address	340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173, USA (Type of address: Service of Process)
2017-03-03	2019-03-12	Address	ATTN: SEAN M FORBES, 850 THIRD AVENUE, SUITE 9B, NEW YORK, NY, 10022, USA (Type of address: Principal Executive Office)
2017-03-03	2019-03-12	Address	850 THIRD AVENUE, SUITE 9B, NEW YORK, NY, 10022, USA (Type of address: Chief Executive Officer)
2017-03-03	2018-08-13	Address	ATTN: SEAN M FORBES, 850 THIRD AVENUE, SUITE 9B, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
2014-06-02	2017-03-03	Address	ATTN: SEAN M FORBES, 800 THIRD AVENUE, SUITE 1703, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
2014-06-02	2017-03-03	Address	800 THIRD AVENUE, SUITE 1703, NEW YORK, NY, 10022, USA (Type of address: Chief Executive Officer)
2014-06-02	2017-03-03	Address	ATTN: SEAN M FORBES, 800 THIRD AVENUE, SUITE 1703, NEW YORK, NY, 10022, USA (Type of address: Principal Executive Office)
2012-08-22	2014-06-02	Address	ATTN: SEAN M FORBES, 122 E. 42ND STREET, SUITE 3006, NEW YORK, NY, 10168, USA (Type of address: Principal Executive Office)
2012-08-22	2014-06-02	Address	122 E. 42ND STREET, SUITE 3006, NEW YORK, NY, 10168, USA (Type of address: Chief Executive Officer)
2012-08-22	2014-06-02	Address	ATTN: SEAN M FORBES, 122 E. 42ND STREET, SUITE 3006, NEW YORK, NY, 10168, USA (Type of address: Service of Process)
2010-07-01	2012-08-22	Address	405 LEXINGTON AVENUE / 21ST FL, NEW YORK, NY, 10174, USA (Type of address: Chief Executive Officer)
2010-07-01	2012-08-22	Address	ATTN: SEAN M FORBES, 405 LEXINGTON AVENUE / 21ST FL, NEW YORK, NY, 10174, USA (Type of address: Service of Process)
2010-07-01	2012-08-22	Address	ATTN: SEAN M FORBES, 405 LEXINGTON AVENUE / 21ST FL, NEW YORK, NY, 10174, USA (Type of address: Principal Executive Office)
2006-06-01	2010-07-01	Address	ATTN: SEAN M FORBES, 405 LEXINGTON AVE 21ST FLR, NEW YORK, NY, 10174, USA (Type of address: Principal Executive Office)
2006-06-01	2010-07-01	Address	405 LEXINGTON AVE, 21ST FLR, NEW YORK, NY, 10174, USA (Type of address: Chief Executive Officer)
2006-06-01	2010-07-01	Address	ATTN: SEAN M FORBES, 405 LEXINGTON AVE 21ST FLR, NEW YORK, NY, 10174, USA (Type of address: Service of Process)
2005-01-11	2006-06-01	Address	ATTN: MR. SEAN M. FORBES, 405 LEXINGTON AVE SUITE 21J, NEW YORK, NY, 10174, USA (Type of address: Service of Process)
2004-06-30	2005-01-11	Address	240 EAST 10TH STREET, UNIT 7B, NEW YORK, NY, 10003, USA (Type of address: Service of Process)
2004-06-30	2022-06-07	Address	240 EAST 10TH STREET, UNIT 7B, NEW YORK, NY, 10003, USA (Type of address: Registered Agent)
2004-06-25	2015-05-28	Name	JAPANINVEST INC.
2004-06-09	2004-06-30	Address	ATTN: MR. SEAN M. FORBES, 44 WALL STREET, 12TH FLOOR, NEW YORK, NY, 10005, USA (Type of address: Registered Agent)
2004-06-09	2004-06-30	Address	ATTN: MR. SEAN M. FORBES, 44 WALL STREET, 12TH FLOOR, NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2004-06-09	2021-11-24	Shares	Share type: NO PAR VALUE, Number of shares: 200, Par value: 0
2004-06-09	2004-06-25	Name	JAPANINVEST, INC.

Filings

Filing Number	Date Filed	Type	Effective Date
240610003167	2024-06-10	BIENNIAL STATEMENT	2024-06-10
230126003437	2023-01-26	BIENNIAL STATEMENT	2022-06-01
221228002294	2022-12-28	CERTIFICATE OF MERGER	2022-12-28
220607000173	2021-11-24	CERTIFICATE OF CHANGE BY ENTITY	2021-11-24
210127060288	2021-01-27	BIENNIAL STATEMENT	2020-06-01
190312061314	2019-03-12	BIENNIAL STATEMENT	2018-06-01
180813000176	2018-08-13	CERTIFICATE OF CHANGE	2018-08-13
170303006587	2017-03-03	BIENNIAL STATEMENT	2016-06-01
150528000725	2015-05-28	CERTIFICATE OF AMENDMENT	2015-05-28
140602006178	2014-06-02	BIENNIAL STATEMENT	2014-06-01
120822006054	2012-08-22	BIENNIAL STATEMENT	2012-06-01
100701002231	2010-07-01	BIENNIAL STATEMENT	2010-06-01
080805002919	2008-08-05	BIENNIAL STATEMENT	2008-06-01
060601002347	2006-06-01	BIENNIAL STATEMENT	2006-06-01
050111000463	2005-01-11	CERTIFICATE OF AMENDMENT	2005-01-11
040630000777	2004-06-30	CERTIFICATE OF CHANGE	2004-06-30
040625000690	2004-06-25	CERTIFICATE OF AMENDMENT	2004-06-25
040609000778	2004-06-09	CERTIFICATE OF INCORPORATION	2004-06-09

Date of last update: 19 Jan 2025

Sources: New York Secretary of State

HAITONG INTERNATIONAL SECURITIES (USA) INC.

Company Details

Central Index Key

Legal Entity Identifier

form 5500

Agent

DOS Process Agent

Chief Executive Officer

History

Filings

Related by officers

Related by address