CETERA INVESTMENT SERVICES LLC X-17A-5 (2020-03-02) — Broker-dealer annual report

Full text of CETERA INVESTMENT SERVICES LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: CETERA INVESTMENT SERVICES LLC
• Form: X-17A-5
• Filed: 2020-03-02
• Period: 2019-12-31
• Accession: 0000745401-20-000003
• CIK: 745401
• File #: 8-31826
• Material weakness: No
• Auditor: Deloitte & Touche LLP
• Auditor location: Los Angeles, CA
• Contact: Mark Shelson
• Phone: 320-229-3191
• Signed by: Mark Paul Shelson (Chief Financial Officer)

Document text (excerpt)

X-17A-5 0000745401 XXXXXXXX LIVE false false false 01-01-2019 12-31-2019 Broker-dealer N CETERA INVESTMENT SERVICES LLC 400 FIRST ST. S. SUITE 300 ST. CLOUD MN 56302 Mark Shelson 320-229-3191 Deloitte & Touche LLP 555 W 5th Street, #2700 Los Angeles CA 90013 Certified Public Accountant Mark Paul Shelson CETERA INVESTMENT SERVICES LLC 03-02-2020 Mark Paul Shelson Chief Financial Officer Y

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• X-17A-5 — 2019-03-25
• X-17A-5 — 2018-03-01
• X-17A-5 — 2017-03-15
• X-17A-5 — 2016-04-21
• X-17A-5 — 2015-03-02
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Original filing on SEC EDGAR (source of record)