Full text of CGS - CIMB SECURITIES (USA), INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **CGS-CIMB SECURITIES (USA), INC.** STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {1}------------------------------------------------ | | UNITED STATES | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|----------------------------------------|-------------------------------------------------------------------------------------------------------|--| | SECURITIES ANO EXCHANGE COMMISSION | | 0MB APPROVAL | | | | Washington, D.C. 20549 | | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | | SEC FILE NUMBER | | | | PART Ill | | 8-67414 | | | | 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 | 01/01/2021<br>AND ENDING<br>MM/00/YY | 12/31/2021<br>MM/00/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: CGS-CIMB Securities {USA), Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>181Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer<br>7 Times Square, Suite 1605 | O Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | DMajor security-based swap participant | | | | | (No. and Street) | | | | | New York | NY | | 10036 | | | | (State) | | (Zip Code) | | | (City) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Helen Chin-Luk | 212-616-8608 | | helen.chinluk@cgs-cimb.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | Citrin Cooperman & Company, LLP | | | | | | | (Name - if indMdual, stat~ last first, middle name) | | | | | | Livingston | NJ | 07039 | | | | (City) | (State) | (Zip COde) | | | 290 W. Mt. Pleasant Avenue<br>(Address)<br>11/02/2005<br>(Date of Registration with PCAOB)(if applicable) | | | 2468<br>(PCAOB Registration Number, if appllcable) | | • Claims for exemption from the requirement that the annual reports be…Read the full text as markdown