Full text of CLSA AMERICAS, 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}------------------------------------------------ # **CLSA Americas, LLC** **(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}------------------------------------------------ **UNITEDSTATES SECURJTIF,S AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-01 23 Expires: October 31, 2023 Estimated average burden hours oer response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | | 8-69166 | FACING PAGE Information Required of B1·okers and Deale1·s Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | ___<br>REPORT FOR THE PERIOD BEGTNNING | _ 0_1_/_0_1 /2__0 _ | _<br>AND ENDTNG | __<br>____<br>12_/_3_1_/2_0<br>_ | | |-------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|-----------------|----------------------------------|--| | | MMtnD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF 13ROKER-DEALER: CLSA Americas, I .LC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use r.O. Box No.)<br>1301 Avenue of the Americas 15th Floor | | | FIRM 1.D. NO. | | | | (No. und Street) | | | | | New York | NY | | 10019 | | | (City) | (State) | | (Zip Code) | | | NAME /\ND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THlS REPORT<br>William C. Holub | | | 212-549-5062 | | | | | | (Mca Co<lc - Tclcpho11~ Number) | | | | B. ACCOUNTANT IDF,NTIFICATlON | | | | | INDEPENDENT rUBUC ACCOUNTANT whose opinion is contained in this Report* | | | | | | PricewaterhouseCoopers LLP | | | | | | | (Name - if individual, slate last. fir.ti, middle name) | | | | | 300 Madison Avenue | New York | NY | 10017 | | | (/\dd1ess) | (City) | (State) | (Zip Co<lc) | | | CHECK ONE: | | | | | | ./<br>!<br>!certified Public Accountant | | | | | | Orublic Accountant | | | | | | DAccountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims /hr exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement </facts and circumstances relied on as…Read the full text as markdown