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  5. HAITONG SECURITIES USA LLC

HAITONG SECURITIES USA LLC

Company Details

Name: HAITONG SECURITIES USA LLC
Jurisdiction: New York
Legal type: DOMESTIC LIMITED LIABILITY COMPANY
Status: Inactive
Date of registration: 30 Sep 2015 (9 years ago)
Date of dissolution: 28 Dec 2022
Entity Number: 4827251
ZIP code: 10018
County: New York
Place of Formation: New York
Address: 425 fifth avenue, 23rd floor, NEW YORK, NY, United States, 10018

Central Index Key

CIK number Mailing Address Business Address Phone
1656347 452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018 452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018 212-351-6012

Filings since 2022-03-29
Form type X-17A-5
File number 008-69694
Filing date 2022-03-29
Reporting date 2021-12-31
File View File

Filings since 2021-03-01
Form type X-17A-5
File number 008-69694
Filing date 2021-03-01
Reporting date 2020-12-31
File View File

Filings since 2020-02-28
Form type X-17A-5
File number 008-69694
Filing date 2020-02-28
Reporting date 2019-12-31
File View File

Filings since 2019-03-15
Form type X-17A-5
File number 008-69694
Filing date 2019-03-15
Reporting date 2018-12-31
File View File

Filings since 2018-03-05
Form type X-17A-5/A
File number 008-69694
Filing date 2018-03-05
Reporting date 2017-12-31
File View File

Filings since 2018-02-28
Form type X-17A-5
File number 008-69694
Filing date 2018-02-28
Reporting date 2017-12-31
File View File

Filings since 2017-03-01
Form type X-17A-5
File number 008-69694
Filing date 2017-03-01
Reporting date 2016-12-31
File View File

Legal Entity Identifier

LEI number Registered As Jurisdiction Of Formation General Category Entity Status Entity created at
549300UY64GGER8RM624 4827251 US-NY GENERAL ACTIVE No data

Addresses
Legal 12th Floor, 340 Madison Avenue, New York, US-NY, US, 10173
Headquarters 12th Floor, 340 Madison Avenue, New York, US-NY, US, 10173

Registration details
Registration Date 2017-10-21
Last Update 2023-08-04
Status LAPSED
Next Renewal 2018-10-10
LEI Issuer 5493001KJTIIGC8Y1R12
Corroboration Level FULLY_CORROBORATED
Data Validated As 4827251

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
HAITONG SECURITIES USA, LLC 401(K) PLAN 2023 475198024 2024-07-22 HAITONG SECURITIES USA, LLC 61
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516029
Plan sponsor’s address 452 5TH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018

Signature of
Role Plan administrator
Date 2024-07-22
Name of individual signing MAGDALENA MASLOWSKI
Role Employer/plan sponsor
Date 2024-07-22
Name of individual signing MAGDALENA MASLOWSKI
HAITONG SECURITIES USA, LLC 401(K) PLAN 2022 475198024 2023-07-24 HAITONG SECURITIES USA, LLC 66
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516003
Plan sponsor’s address 452 5TH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018
HAITONG SECURITIES USA, LLC 401(K) PLAN 2021 475198024 2022-06-21 HAITONG SECURITIES USA, LLC 69
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516003
Plan sponsor’s address 452 5TH AVENUE, 23RD FLOOR, NEW YORK, NY, 10018
HAITONG SECURITIES USA, LLC 401(K) PLAN 2020 475198024 2021-09-13 HAITONG SECURITIES USA, LLC 71
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516029
Plan sponsor’s address 340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173
HAITONG SECURITIES USA, LLC 401(K) PLAN 2019 475198024 2020-08-03 HAITONG SECURITIES USA, LLC 76
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516029
Plan sponsor’s address 340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173
HAITONG SECURITIES USA, LLC 401(K) PLAN 2018 475198024 2019-10-11 HAITONG SECURITIES USA, LLC 62
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516029
Plan sponsor’s address 340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173

Signature of
Role Plan administrator
Date 2019-06-24
Name of individual signing EILEEN LEWIS
Role Employer/plan sponsor
Date 2019-06-24
Name of individual signing EILEEN LEWIS
HAITONG SECURITIES USA, LLC 401(K) PLAN 2017 475198024 2018-08-27 HAITONG SECURITIES USA, LLC 59
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2009-01-01
Business code 522110
Sponsor’s telephone number 2123516029
Plan sponsor’s address 340 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10173

Signature of
Role Plan administrator
Date 2018-08-27
Name of individual signing EILEEN LEWIS
Role Employer/plan sponsor
Date 2018-08-27
Name of individual signing EILEEN LEWIS

DOS Process Agent

Name Role Address
THE LLC DOS Process Agent 425 fifth avenue, 23rd floor, NEW YORK, NY, United States, 10018

History

Start date End date Type Value
2015-09-30 2022-11-03 Address 340 MADISON AVENUE, NEW YORK, NY, 10173, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
221228002294 2022-12-28 CERTIFICATE OF MERGER 2022-12-28
221103002869 2021-11-24 CERTIFICATE OF CHANGE BY ENTITY 2021-11-24
200311060583 2020-03-11 BIENNIAL STATEMENT 2019-09-01
171204007495 2017-12-04 BIENNIAL STATEMENT 2017-09-01
160120000700 2016-01-20 CERTIFICATE OF PUBLICATION 2016-01-20
150930000224 2015-09-30 ARTICLES OF ORGANIZATION 2015-09-30

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Date of last update: 14 Jan 2025

Sources: New York Secretary of State

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