Clsa Americas, LLC – ‘X-17A-5’ for 12/31/23

On: Thursday, 2/29/24, at 3:53pm ET · Effective: 2/29/24 · For: 12/31/23 · Accession #: 1558345-24-7 · File #: 8-69166

Document/Exhibit Description Pages Size 1: X-17A-5 Annual Financial Report [ a.k.a. FOCUS Report ] by HTML 5K a Broker or Dealer -- primary_doc.xml 4: FULL Annual Financial Report (Full) -- PDF 152K 2023_ACCT_RPT_COMPL_RPT 3: FULL Annual Financial Report (Full) -- PDF 372K 2023_COMPLIANCE_REPORT2 2: FULL Annual Financial Report (Full) -- PDF 1.76M 2023_PUBLIC_REPORT3

X-17A-5: Submission Information

Report for the Period Beginning

1/1/23

and Ending

12/31/23

Type of Registrant

Broker-dealer

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Broker-dealer

CLSA AMERICAS, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

1155 AVENUE OF THE AMERICAS, 17TH FLOOR

City

NEW YORK

State/Country

NEW YORK

Mailing Zip/ Portal Code

10036

Name and Telephone Number of Person to Contact in Regard to this Report

Name

William C Holub

Telephone Number

2125495062

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

KPMG LLP

Address 1

345 Park Avenue

City

New York

State/Country

NEW YORK

Mailing Zip/ Postal Code

10154

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, William C Holub, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of CLSA AMERICAS, LLC, as of 12/31/23, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

William C Holub

Title

Chief Financial Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

Clsa Americas, LLC – ‘X-17A-5’ for 12/31/23

On: Thursday, 2/29/24, at 3:53pm ET · Effective: 2/29/24 · For: 12/31/23 · Accession #: 1558345-24-7 · File #: 8-69166

Previous ‘X-17A-5’: ‘X-17A-5’ on 3/30/23 for 12/31/22 · Latest ‘X-17A-5’: This Filing

Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5

Filing Table of Contents

‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Clsa Americas, LLC – ‘X-17A-5’ for 12/31/23

On: Thursday, 2/29/24, at 3:53pm ET · Effective: 2/29/24 · For: 12/31/23 · Accession #: 1558345-24-7 · File #: 8-69166

Previous ‘X-17A-5’: ‘X-17A-5’ on 3/30/23 for 12/31/22 · Latest ‘X-17A-5’: This Filing

Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5Filing Table of Contents

‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5

Filing Table of Contents