Clsa Americas, LLC – ‘X-17A-5’ for 12/31/21

On: Tuesday, 3/1/22, at 1:33pm ET · Effective: 3/1/22 · For: 12/31/21 · Accession #: 1558345-22-2 · File #: 8-69166

Document/Exhibit Description Pages Size 1: X-17A-5 Annual Financial Report [ a.k.a. FOCUS Report ] by HTML 4K a Broker or Dealer -- primary_doc.xml 2: FULL Annual Financial Report (Full) -- PDF 230K 2021_ACCT_RPT_COMPL_RPT 3: FULL Annual Financial Report (Full) -- PDF 20K 2021_COMPLIANCE_RPT 4: FULL Annual Financial Report (Full) -- PDF 444K 2021_CONFIDENTIAL_RPT3 5: FULL Annual Financial Report (Full) -- 2021_PUBLIC_RPT PDF 306K

X-17A-5: Submission Information

Report for the Period Beginning

1/1/21

and Ending

12/31/21

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

1301 AVENUE OF THE AMERICAS, 15TH FLOOR

City

NEW YORK

State/Country

NEW YORK

Mailing Zip/ Portal Code

10019

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

Name

William Holub

Telephone Number

212.549.5062

X-17A-5: B. Accountant Identification

Independent Public Accountant

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

PricewaterhouseCoopers LLP

Address 1

300 Madison Avenue

City

New York

State/Country

NEW YORK

Mailing Zip/ Postal Code

10017

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 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 12/31/21, 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 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 12/31/21

On: Tuesday, 3/1/22, at 1:33pm ET · Effective: 3/1/22 · For: 12/31/21 · Accession #: 1558345-22-2 · File #: 8-69166

Previous ‘X-17A-5’: ‘X-17A-5’ on 3/22/21 for 12/31/20 · Next: ‘X-17A-5’ on 3/30/23 for 12/31/22 · Latest: ‘X-17A-5’ on 2/29/24 for 12/31/23

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 12/31/21

On: Tuesday, 3/1/22, at 1:33pm ET · Effective: 3/1/22 · For: 12/31/21 · Accession #: 1558345-22-2 · File #: 8-69166

Previous ‘X-17A-5’: ‘X-17A-5’ on 3/22/21 for 12/31/20 · Next: ‘X-17A-5’ on 3/30/23 for 12/31/22 · Latest: ‘X-17A-5’ on 2/29/24 for 12/31/23

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