Full text of CITIC SECURITIES INTERNATIONAL USA, LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). 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, 2022 (With Independent Registered Public Accounting Firm's Report Thereon)** {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5<br>PART II<br>FACING PAGE | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12<br>SEC FILE NUMBER<br>8-68887 | | |-------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | 12/31/22 | | FILING FOR THE PERIOD BEGINNING | 01/01/22<br>MM/DD/YY | AND ENDING | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: __ | CITIC Securities International USA, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>& Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | പ Security-based swap dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1155 Avenue of the Americas, 17th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10036 | | | (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) | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | * Claims for exemption from the requirement that the annual reports of an…Read the full text as markdown