Full text of CITIC SECURITIES INTERNATIONAL USA, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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, 2021 (With Independent Registered Public Accounting Firm's Report Thereon)** {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 1.2<br>SEC FILE NUMBER<br>8-68887 | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--|--| | | PART III and THEAT<br>THE P. HOW TO TENER THE REAL PHOTOS OF | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE CIT 01 | | | | | | FILING FOR THE PERIOD BEGINNING | WWCOL MICKING IT X HING-FIN TO<br>01/01/21 | AND ENDING | 12/31/21<br>MM/DD/YY | | | | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: -- | CITIC Securities International USA, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[Y Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1301 Avenue of the Americas 15th Floor | | | | | | | | (No. and Street) | | | | | | New York | NY | | 10019 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | William Holub | (212) 549-5062 | | william.holub@clsa.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PricewaterhouseCoopers LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 300 Madison Avenue | New York | NY | 10017 | | | | (Address) | (City) | (State) | (Zip Code) | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Nu…Read the full text as markdown