Connaught (U.S.) LLC

02/27/2026 | Press release | Distributed by Public on 02/27/2026 18:44

Information Required of Brokers and Dealers (Form X-17A-5)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001771704
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
01-01-2025
and Ending
12-31-2025
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
CONNAUGHT (U.S.) LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
6TH FLOOR WEST
Address 2
170 PICCADILLY
City
LONDON
State/Country
NEW YORK
Mailing Zip/ Portal Code
W1J 9EJ

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Michael Chung
Telephone Number
212-751-4422

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
UHY
Address 1
4 Tower Place, Executive Park
City
Albany
State/Country
NEW YORK
Mailing Zip/ Postal Code
12203
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, James Huelin, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of CONNAUGHT (U.S.) LLC, as of 12-31-2025, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
James Huelin
Title
CEO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Connaught (U.S.) LLC published this content on February 27, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on February 28, 2026 at 00:44 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]