Full text of CITIC SECURITIES INTERNATIONAL USA, LLC's X-17A-5 filed 2021-03-22 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **(a wholly-owned subsidiary of CLSA Americas Holdings, Inc.)** **Statement of Financial Condition Pursuant to the Securities Exchange Act of 1934, Rule 17a-5 December 31, 2020 (With Independent Registered Public Accounting Firm's Report Thereon)** {1}------------------------------------------------ **UNITED STA TES SECURITIES AND EXCHANGECOMM.ISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oer response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |--|-----------------| | | | 8-68887 **FACING PAGE Information Required of Brnkers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | ___<br>REPORT FOR THE PERIOD BEGINNING | _ o_1_1_0_1 ,2__0 _ | _<br>AND ENDING | __<br>____<br>12_1_3_1_12_0<br>_ | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------|-----------------------------------| | | MM!f)O/YY | | MM{l)D/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: CITIC Securities f nternational USA, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>1301 Avenue of the Americas 15th Floor | | OFFICIAL USE ONLY | | | | | | FIRM I.D. NO. | | | (No and Street) | | | | New York | NY | | 10019 | | (City) | (State) | | (Zip Code) | | NAME ANO TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>WIiiiam C. Holub | | | 212- 549 - 5062 | | | | | (Arca Code - T1.:kphon.: Numb.:r) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | PricewaterhouseCoopers LLP | | | | | | (Name - if individual, state hist, first, middle name) | | | | 300 Madison Avenue | New York | NY | 10017 | | (Address) | (City) | (Scace) | (Zip Code) | | CHECK ONE: | | | | | I./<br>!certified Public Accountant | | | | | DPublic Accountant | | | | | DAccountanl nol resident in {Jnitc:d States or any or its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims.for exemption from the requirement that the annual report be covered by the opinion ofan independent public accountant must he supported by a statement ~/facts and circum…Read the full text as markdown