Full text of CLSA AMERICAS, 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}------------------------------------------------ # **CLSA Americas, LLC** (a wholly-owned subsidiary of CLSA Americas Holdings, Inc.) Financial Statements and Supplementary Schedules Pursuant to the Securities Exchange Act of 1934, Rule 17a-5 December 31, 2021 (With Independent Registered Public Accounting Firm's Report Thereon) {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | OM8 Number: 3235-0123<br>El<plres: Oct. 31, 2023 | |-----------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|------------------------|--------------------------------------------------| | | Washington, D.C. 20549 | | | EStlmated average burden | | | | | | hours per r!!sponse: 12 | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-S | | | 8-69166 | | | PARTIU | | | | | | | | | | | | | | | | | Information Required Pursuant to Rules 17a•S, 17a:12, and 18a•7 under the Securltles Exchange Act of 1934 | FACING PAGE | . ; | .i | | | FILING FOR THE PERIOD BEGINNING | ___<br>0_1_/0_l_/2_1 | __<br>AND ENDING | ____ | __<br>1_2/_3_1/_2_1 | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM: __ c_LS_A_A_m_e_ri_ca_s_, _LL_c _____________________ | | | | _ | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | (8) Broker-dealer | D Security-based swap dealer | D Major security-based swap participant | | | | D 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) | lState) | | | (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* | | | | | | | | | | | | PricewaterhouseCoopers LLP | | | | | | | (Name - If Individual, state last, first, and mlddle name) | | | | | 300 Madison Avenue | New York | | NY | 10017 | | !Address) | (City) | | (State) | (Zip Code) | | | | | | | | (Date of Registration with PCAOS)(lf applica…Read the full text as markdown