Full text of CITIC SECURITIES INTERNATIONAL USA, LLC's X-17A-5 filed 2026-03-04 (period 2025-12-31). 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, 2025 (With Independent Registered Public Accounting Firm's Report Thereon)** {1}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | |---------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|------------------------|-------------------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123<br>Expires: Nov. 30, 2026 | | | | | Washington, D.C. 20549 | | Estimated average burden | | | | | | | hours per response: 12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-68887 | | | | | PART Ill | | | | | | | | | | | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING | ---------<br>01/01/25 | AND ENDING | ----------<br>12/31/25 | | | | | 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>~ Broker-dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | □ Check here if respondent is also an OTC derivatives 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 | New York | | 10036 | | | | (City) | (State) | | (Zip Code) | | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | William C. 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* | | | | | | KPMG LLP | | | | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | | 375 Ninth Avenue | New York | NY | 10001 | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | | | (rte of Registration with PCADB)(if a…Read the full text as markdown