Full text of CLSA AMERICAS, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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, 2023 (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 | | Estimat ed average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-69166 | | | | PART Ill | | | | | | | | | | | | FACING PAGE<br>Information ~equired Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 19.34 | | | | | | | | | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /23 | | | AND ENDING 12/31 /23 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: CLSA Americas, LLC | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | D Security-based swap dealer | | D Major security-based swap participant | | | C!l Broker-dealer<br>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.) | | | | | 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 C. Holub | 212-549-5062 | | william. holub@clsa.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | KPMG, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 345 Park Avenue | New York | NY | 10154 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | T"<br>of Reglst<atioa with PCAOB )Uf applicable] | | | I<br>(PCAOB Reglstrat~o N,mbe,, If applicable] | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | |…Read the full text as markdown