Full text of CETERA INVESTMENT SERVICES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CETERA INVESTMENT SERVICES LLC (SEC I.D. No. 8-31826) # STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2020 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document. {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | Expires: October 31, 2023 | | | | | |---------------------------|--|--|--|--| | Estimated average burden | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ### ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/20 | AND ENDING | 12/31/20 | | |--------------------------------------------------------------------------|---------------------------------------------------------------------|------------|-----------------------------------------------|-------------------| | | MM/DD/YY | | MM/DD/YY | | | | A, REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER:<br>Cetera Investment Services LLC | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM I.D. NO. | | 400 First Street South, Suite 300 | | | | | | | (No. and Street) | | | | | St. Cloud | MN | | 56301<br>(Zip Code) | | | (City) | (State) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Theodore Horwith | | | (310) 257-7782<br>(Area Code - Telephone No.) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Deloitte & Touche LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 555 W 5th Street, Suite 2700 | Los Angeles | CA | | 90013 | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | ×<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Se…Read the full text as markdown