Full text of CETERA INVESTMENT SERVICES LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). 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, 2021 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}------------------------------------------------ Public UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | | | | | |---------------------------|--|--|--|--| | OMB Number: 3235-0123 | | | | | | Expires: Oct. 31, 2023 | | | | | | Estimated average burden | | | | | | 12<br>hours per response: | | | | | SEC FILE NUMBER 8-31826 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 12/31/2021 FILING FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Cetera Investment Services LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer \_\_\_\_ \_ \_ Security-based swap dealer \_\_\_ \_ \_ \_ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | (No. and Street) | | | |----------------------------------------------------------------------------------------------------|----------------|------------------------------------------------------------|-----------------------|--------------------------------------------| | St. Cloud | | MN | 56302 | | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Tim Bowman | (619) 881-5262 | | Tim.Bowman@cetera.com | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Deloitte & Touche LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 555 W. 5th Street, Floor 2700 Los Angeles | | | CA | 90013 | | (Address) | | (City) | (State) | (Zip Code) | | October 20, 2003 | | | 34 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | \* 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…Read the full text as markdown