Full text of CLEARLIST SECURITIES LLC's X-17A-5 filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | | |---------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|-----------------------------------------------------------------------------------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | Washington, D.C. 20549 | | | | | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | SEC FILE NUMBER | | | | | PART Ill | | 8-70540 | | | REPORT FOR THE PERIOD BEGINNING | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>01/01/2021<br>AND ENDING<br>MM/DD/YY | 12/31/2021<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: CLEARLIST SECURITIES LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~Broker-dealer | Security-based swap dealer<br>□ Check here if respondent is also an OTC derivatives dealer | Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 40 WALL STREET | | | | | | | (No. and Street) | | | | | NEW YORK<br>NY | 10005 | | | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | (State) | | (Zip Code) | | | JANICE PARISE | 212-751-4422 | | JANICE.PARISE@CLEARLIST.COM | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | BAKER TILLY US, LLP | (Name - if individual, state last, first, middle name) | | | | | ONE PENN PLAZA | NEW YORK | NY | 10119 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/22/2003 | | | 23 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S{e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}-------------------------…Read the full text as markdown