SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Clsa Americas, LLC – ‘X-17A-5’ for 12/31/20

On:  Monday, 3/22/21, at 11:09am ET   ·   Effective:  3/22/21   ·   For:  12/31/20   ·   Accession #:  1558345-21-10   ·   File #:  8-69166

Previous ‘X-17A-5’:  ‘X-17A-5’ on 3/2/20 for 12/31/19   ·   Next:  ‘X-17A-5’ on 3/1/22 for 12/31/21   ·   Latest:  ‘X-17A-5’ on 2/29/24 for 12/31/23

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of               Filer                 Filing    For·On·As Docs:Size

 3/22/21  Clsa Americas, LLC                X-17A-5    12/31/20    4:967K

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

Document/Exhibit                   Description                      Pages   Size 

 1: X-17A-5     Annual Financial Report [ a.k.a. FOCUS Report ] by  HTML      3K 
                a Broker or Dealer -- primary_doc.xml                            
 4: FULL        Annual Financial Report (Full) --                    PDF    457K 
                2020_PUBLIC_REPORT                                               
 3: COMPL RPT   Compliance Report -- 2020_COMPLIANCE_REPORT2         PDF     22K 
 2: ACCT RPT COMPL RPT  Accountant's Report re: an Examination of    PDF    221K 
                Certain Statements in a Compliance Report --                     
                2020_ACCT_RPT_COMPL_RPT

‘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:

  Form X-17A-5    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/seventeenafiler" xmlns:com="http://www.sec.gov/edgar/common">
<headerData>
<submissionType> X-17A-5 </submissionType>
<filerInfo>
<filer>
<filerCredentials>
<filerCik> 0001558345 </filerCik>
<filerCcc> XXXXXXXX </filerCcc>
</filerCredentials>
</filer>
<liveTestFlag> LIVE </liveTestFlag>
<flags>
<returnCopyFlag> true </returnCopyFlag>
<confirmingCopyFlag> false </confirmingCopyFlag>
<overrideInternetFlag> false </overrideInternetFlag>
</flags>
</filerInfo>
</headerData>
<formData>
<submissionInformation>
<periodBegin> 01-01-2020 </periodBegin>
<periodEnd> 12-31-2020 </periodEnd>
<typeOfRegistrant> Broker-dealer </typeOfRegistrant>
<materialWeakness> N </materialWeakness>
</submissionInformation>
<registrantIdentification>
<brokerDealerName> CLSA AMERICAS, LLC </brokerDealerName>
<businessAddress>
<com:street1> 1301 AVENUE OF THE AMERICAS, 15TH FLOOR </com:street1>
<com:city> NEW YORK </com:city>
<com:stateOrCountry> NY </com:stateOrCountry>
<com:zipCode> 10019 </com:zipCode>
</businessAddress>
<contactPersonName> William Holub </contactPersonName>
<contactPersonPhoneNumber> 2125495062 </contactPersonPhoneNumber>
</registrantIdentification>
<accountantIdentification>
<accountantName> PricewaterhouseCoopers LLP </accountantName>
<accountantAddress>
<com:street1> 300 Madison Avenue </com:street1>
<com:city> New York </com:city>
<com:stateOrCountry> NY </com:stateOrCountry>
<com:zipCode> 10017 </com:zipCode>
</accountantAddress>
<accountantType> Certified Public Accountant </accountantType>
</accountantIdentification>
<oathSignature>
<signPersonName> William Holub </signPersonName>
<entityName> CLSA AMERICAS, LLC </entityName>
<signDate> 12-31-2020 </signDate>
<signature> William C. Holub </signature>
<oathTitle> Chief Financial Officer </oathTitle>
<confirmNotarizedFlag> Y </confirmNotarizedFlag>
</oathSignature>
</formData>
</edgarSubmission>


↑Top
Filing Submission 0001558345-21-000010   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Tue., May 14, 9:38:45.2am ET