Full text of ASSOCIATED INVESTMENT SERVICES, INC.'s X-17A-5 filed 2024-03-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FIFE NUMBER | | |-----------------|--| | | | | | | | 8-00099 | | | | | MM/DD/YY FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/23 Filing for the period beginning 01/01/23 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Associated Investment Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): | Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 433 Main Street | (No. and Street) | | | | |----------------------------------------------|---------------------------------------------------------------------------|-------|--| | Green Bay | W | 54301 | | | (City) | (State)<br>(Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Michael David Kuipers | (952) 912-5280<br>david.kuipers@associatedbank.com | | | | (Name) | (Email Address)<br>(Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | # Wipfli LLP | (Name - if individual, state last, first, and middle name) | | | | |------------------------------------------------------------|-----------------------|---------|--------------------------------------------| | 10000 Innovation Dr., Suite 250 | Milwaukee | | 53226 | | (Address) | (City) | (State) | (Zip Code) | | 09/18/2003 | | 344 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Michael David Kuipers | | | |-----------------------|--|--| | | | | swear (or affirm) that, to the bes…Read the full text as markdown