Full text of CGS - CIMB SECURITIES (USA), INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|-----------------------------------------------------------------------------------------------------------------------|----------------------------|--|--------------------------------------------| | | FORM X-17A-5 | | | | SEC FILE NUMBER | | | PART III | | | | 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 01/01/2022 AND ENDING 12/31/2022 | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: CGS-CIMB Securities (USA), Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>&Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>7 Times Square, Suite 1605 | □Security-based swap dealer | | | | | | | | (No. and Street) | | | | | New York | | NY | | | 10036 | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | (State) | | | (Zip Code) | | 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 individual, state last, first, middle name) | | | | | 290 W. Mt. Pleasant Avenue | Livingston | | NJ | | 07039 | | (Address) | (City) | | (State) | | (Zip Code) | | 11/02/2005 | | | | | 2468 | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | \* Claims for exemption from…Read the full text as markdown